The SEC issued a final order regarding performance fee thresholds and rescinded the 'no-deny' policy on settlements under the Investment Advisers Act of 1940.
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Updated sep 7
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How it started
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What happened
The SEC issued a final order regarding performance fee thresholds and rescinded the 'no-deny' policy on settlements under the Investment Advisers Act of 1940.
Who's involved
What this event is mainly aboutHow it developed
Newest first. Tap a step to see who reported it.SEC proposes rescission of Pay-to-Play Rule under Investment Advisers Act of 1940.1 source
- An Act has been passed that modernizes payment rules for financial advisors, building on recent guidance from the Securities and Exchange Commission.Sub-event
SEC finalized rules on performance fee thresholds and rescinded 'no-deny' policy on settlements.1 source
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The entities involved
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SEC
Slovak company
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Coverage
Newest first; wire copies grouped- mondaq.com
- mondaq.comBeyond Qualified Clients: Are Performance Fees Coming To A Registered Fund Near You?
- jdsupra.com