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Compliance Week - NY law makes it harder for investment advisers to supervise off-channel communications

08 November 2023

RIAs Americas

Additional PFAR Resources Now Available

13 October 2023

RIAs Private Funds ERAs ...

PFAR for Registered Investment Advisers

13 October 2023

RIAs Private Funds Side Letters ...

AIMA Analysis of Application of PFA Rules to Non-U.S. Advisers

08 September 2023

RIAs Private Funds Reporting ...

AIMA Summary of SEC's Proposed Rule on Use of AI by Advisers and Broker-Dealers

11 August 2023

RIAs Artificial Intelligence Americas

AIMA and the ACC join a joint trade association request for an extension on the SEC's safeguarding proposal

06 March 2023

Compliance RIAs Americas

Joint trade association request for extension on safeguarding proposal

06 March 2023

Compliance RIAs Americas

AIMA Summary of SEC Safeguarding Rule Proposal

16 February 2023

Compliance RIAs Americas

SEC Proposes New Safeguarding Rule to Replace Advisers Act Custody Rule

16 February 2023

Compliance RIAs Americas