On Friday, March 13, 2020, the SEC issued an Order under Section 206A of the Investment Advisers Act of 1940 that is intended to provide relief for certain investment advisers who are impacted by COVID-19. For the period between March 13, 2020 and April 30, 2020, the SEC is providing relief to registered investment advisersContinue reading “SEC Provides Relief for Advisers in Light of COVID-19”
Regulatory and Legal Issues for Advisers and Those Contemplating Breaking Away