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SEC to Require More Data from Investment Advisers

August 29, 2016 by Eugene Grygo

SEC Amends the Investment Advisers Act The SEC is asking for more data from investment advisers via revamped reporting and disclosure requirements implemented through amendments to the Investment Advisers Act, and the investment adviser registration and reporting form, officials say. The amendments are intended to improve the quality of information that investment advisers provide to… Read More >>

Filed Under: General Interest, FinTech Trends, Regulation & Compliance, Industry News Tagged With: compliance, FusionCapital Risk, Horizon Automated Trading, Investment Advisers Act, Investment Advisers Act Rule 204-2, KGI securities, Mary Jo White, Misys, SEC

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