DoubleLine Capital LP is an investment adviser registered under the Investment Advisers Act
The initiative incentivized investment advisers to self-report violations of the Advisers Act
resulting from undisclosed conflicts of interest, promptly compensate investors, and review and correct fee disclosures.
Advisers should understand that their compliance obligations in connection with principal transactions will depend on whether their activities are governed by the Securities Exchange Act of 1934, Investment Advisers Act
of 1940--aka the Exchange Act and the Advisers Act
, respectively--the Employee Retirement Income Security Act of 1974 (ERISA) or the Internal Revenue Code of 1986 (IRC).
Singapore: The Commercial Affairs Department (CAD) of the Singapore Police Force and the MAS announced today that they will extend the Joint Investigations Arrangement to cover all offences under the Securities and Futures Act (SFA) and Financial Advisers Act
Industry officials and a former SEC commissioner recently debated the merits of the securities regulator taking on such a task, with Jim Allen, head of capital markets policy at CFA Institute, arguing that the agency should require those who call themselves "advisors," be it with an "o" or an "e," or "who are providing personalized investment advice as something more than just an incidental part of their businesses," to register as investment advisors, thereby binding them to fiduciary regulations established under the Investment Advisers Act
Notable potential new rule additions include a rule on auditor independence with respect to loans or debtor-creditor relationships, which would amend Reg S-X, as well as a rule to require that the Investment Advisers Act
conform to the Fixing America's Surface Transportation Act, or FAST Act.
In this book, authors Frankel and Laby present readers with the third edition of their four-volume comprehensive examination of the Investment Company Act, The Investment Advisers Act
, and the contemporary regulation of mutual funds and their managers.
During his tenure at the SEC, he worked on several compliance inspection projects involving compliance examinations of registered investment advisers to ensure compliance with the Investment Advisers Act
of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934.
Government document that defines and regulates the provision of investment advice is titled the "Investment Advisers Act
206(4) of the Investment Advisers Act
of 1940 to their use of social media.
Blizzard will supervise two offices that develop recommendations for rulemaking and other policy initiatives under the Investment Company Act and the Investment Advisers Act