Archive for July, 2016


Proposed SEC Rules Regarding Continuity and Succession Planning

On June 28, 2016, the SEC proposed new Rule 206(4)-4 and amendments to Rule 204-2 under the Advisers Act that…

SEC Raises “Qualified Client” Net Worth Threshold Effective August 15, 2016

The U.S. Securities and Exchange Commission (the “SEC”) has raised the net worth threshold under the “performance fee rule” from…