Regulation and Compliance in the Alternative Asset Space
By EsqSocial Corporation 24/04/24
As the SEC has issued a number of final or proposed rules affecting broadly the conduct of broker dealers and investment advisers in the past few years, I have received a lot of questions about new compliance concerns. Market participants who are outside traditional securities investments or who deal only with institutional investors suddenly have a lot of uncertainty regarding their own compliance needs. And, today, I read this article reporting on new surveys within the registered investment...
By: Morris, Manning & Martin, LLP