Search results with tag "Im guidance update"
IM Guidance Update - SEC.gov
www.sec.govIM Guidance Update Mar o 4 US Securities and Exchange Commission Division of Investment Management GUIDANCE ON THE TESTIMONIAL RULE AND SOCIAL MEDIA
IM Guidance Update - SEC
www.sec.govIM Guidance Update o 14-07 US Securities and Exchange Commission Division of Investment Management PRIVATE FUNDS AND THE APPLICATION OF THE CUSTODY RULE TO SPECIAL
IM Guidance Update - SEC
www.sec.govIM GUIDANCE UPDATE 2. The definition of custody turns on whether the adviser is permitted to “withdraw” client funds or securities “upon [the adviser’s] instruction to the qualified custodian.”
IM Guidance Update - SEC.gov
www.sec.govIM GUIDANCE UPDATE 2. The staff has received questions regarding the application of the rule in certain scenarios, and the Office of Compliance Inspections and …
IM uidance Update - SEC.gov
www.sec.govIM GUIDANCE UPDATE 6 13 s Cybersecurity Initiative contained a sample list of requests for information, OCIE’ which included questions that tracked information outlined in the “Framework for
IM Guidance Update - SEC
www.sec.govsuch intermediate holding company is wholly owned by the fund. Venture capital advisers may have multiple private funds participating in any given portfolio com pany investment. For example, two venture capital funds with the same adviser (or advisers that are “related persons” 6) may each invest in the same portfolio com pany.