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Searching Content indexed under Fund Management/ REITs by Patrick D. Sweeney ordered by Published Date Descending.
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SEC Adopts New Disclosure And Recordkeeping Requirements For Investment Advisers
In May 2015, we reported on proposals by the Securities and Exchange Commission to expand public disclosures by RIAs of various aspects of their SMA businesses.
United States
8 Sep 2016
2
United States
14 Jul 2016
3
SEC Increases Qualified Client Net Worth Threshold
Section 205 of the US Investment Advisers Act of 1940 generally prohibits a registered investment adviser from receiving compensation based on a share of capital gains on or appreciation of funds of an advisory client.
United States
4 Jul 2016
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