There is a new reporting obligation pertaining to Form N-PX for investment advisers who are required to file a Form 13F with the SEC. Understanding the new reporting requirement and its upcoming deadline is crucial for compliance. Scott Demar of Kaufman Rossin shares his insights here. Read on: https://okt.to/BPRHz7
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Staying Compliant with SEC Performance Advertising Rules! 📊🏦 Investment advisers, ensuring compliance with SEC rules is crucial for maintaining trust and credibility with your clients. Here are some key practices: -Present accurate and balanced performance data -Disclose all material conditions affecting performance -Use standardized time periods for consistency By adhering to these guidelines, you can effectively promote your services while safeguarding investor interests. Let's stay compliant and build a trustworthy financial future together! 🌟 #SECCompliance #InvestmentAdvice #FinancialPlanning #Transparency #InvestorProtection #FinanceTips 💡📈
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Transparency and Trust in Investment Advertising 📣🔍 In the world of investment advisories, transparency and honesty are paramount. Here’s how to stay on top of SEC performance advertising rules: -Always use clear and prominent disclosures -Regularly review and update performance data -Use genuine testimonials with appropriate disclaimers -Compliance not only meets regulatory requirements but also builds strong, lasting relationships with clients. Let’s strive for excellence and integrity in all our financial communications! 🌐 #SECCompliance #Finance #Investment #Trust #Transparency #FinancialAdvice 🏦📊
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The Department of Labor rolled out its new fiduciary rule that significantly impacts the financial services industry. 💡 Key Points: - The Final Rule redefines who qualifies as a fiduciary under ERISA. - Previously, one-time advice wasn't always considered fiduciary advice. The new rule changes that. - The mere provision of investment information or education, without an investment recommendation, is not advice within the meaning of the Final Rule. - It is widely anticipated that the Final Rule will be subject to litigation challenging its enforceability. 🔗 Read the full article: Curious to learn more? Check out our detailed article on the DOL's new fiduciary rule below. It’s a must-read for investors, advisors, and anyone navigating the financial landscape. #DOL #FiduciaryRule #InvestmentAdvice
The DOL released its final Fiduciary Rule, which significantly expands the scope of investment advice that may be subject to ERISA. Our ERISA and financial services teams discuss the rule and next steps for financial institutions and professionals. https://ow.ly/vnl150RrfLM
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The SEC's new private fund rules: 🔹 Restrict certain activities 🔹 Impose new detailed quarterly reporting 🔹 Add several prohibitions and disclosure requirements RSM's latest insight provides considerations for fund managers navigating these changes and complexities. Check them out here:
What general partners should know about new private fund rules
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The SEC's new private fund rules: 🔹 Restrict certain activities 🔹 Impose new detailed quarterly reporting 🔹 Add several prohibitions and disclosure requirements RSM's latest insight provides considerations for fund managers navigating these changes and complexities. Check them out here:
What general partners should know about new private fund rules
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The SEC's new private fund rules: 🔹 Restrict certain activities 🔹 Impose new detailed quarterly reporting 🔹 Add several prohibitions and disclosure requirements RSM's latest insight provides considerations for fund managers navigating these changes and complexities. Check them out here:
What general partners should know about new private fund rules
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The SEC's new private fund rules: 🔹 Restrict certain activities 🔹 Impose new detailed quarterly reporting 🔹 Add several prohibitions and disclosure requirements RSM's latest insight provides considerations for fund managers navigating these changes and complexities. Check them out here:
What general partners should know about new private fund rules
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The SEC's new private fund rules: 🔹 Restrict certain activities 🔹 Impose new detailed quarterly reporting 🔹 Add several prohibitions and disclosure requirements RSM's latest insight provides considerations for fund managers navigating these changes and complexities. Check them out here:
What general partners should know about new private fund rules
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The SEC's new private fund rules: 🔹 Restrict certain activities 🔹 Impose new detailed quarterly reporting 🔹 Add several prohibitions and disclosure requirements RSM's latest insight provides considerations for fund managers navigating these changes and complexities. Check them out here:
What general partners should know about new private fund rules
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The SEC's new private fund rules: 🔹 Restrict certain activities 🔹 Impose new detailed quarterly reporting 🔹 Add several prohibitions and disclosure requirements RSM's latest insight provides considerations for fund managers navigating these changes and complexities. Check them out here:
What general partners should know about new private fund rules
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