SEC Adopts New Compliance Rules for Investment Companies and Investment Advisers.
Mondaq Business Briefing › Nbr. 2003, May 2003
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SEC Adopts New Compliance Rules for Investment Companies and Investment Advisers.
Financial Services Alert - Developments of Note
The SEC adopted new Rule 38a-1 under the Investment Company Act of 1940 (the "1940 Act") and new Rule 206(4)-7 under the Investment Advisers Act of 1940 (the "Advisers Act") that will require registered investment companies and business development companies ("funds") and federally registered advisers to adopt and implement written policies and procedures reasonably designed to prevent violation of the federal securities laws, review t...See the full content of this document
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