Asset Management Attorneys Explore the SEC Compliance Rules in The Investment Lawyer
November 19, 2024
November 19, 2024
BOSTON, Massachusetts, Nov. 19 -- Ropes and Gray, a law firm, issued the following news:
October 5, 2024, marked the 20th anniversary of the Securities and Exchange Commission's (SEC) landmark Compliance Rules, Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940, which established the role of Chief Compliance Officer and mandated compliance programs for registered funds and advisers.
In an article for The Inves . . .
October 5, 2024, marked the 20th anniversary of the Securities and Exchange Commission's (SEC) landmark Compliance Rules, Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940, which established the role of Chief Compliance Officer and mandated compliance programs for registered funds and advisers.
In an article for The Inves . . .