Archive for July, 2016
Results
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…