Compliance Solutions for Investment Advisers

Monthly Archives: May 2011

Social Networking Survey

The Massachusetts Securities Division is currently conducting a social media survey of state-registered investment advisers. The first section asks whether you utilize any of listed sites, how long you have used such site(s), how many times in the last 12 months you have logged into your account or updated the content. It also asks if

SEC Proposes to Update Investment Adviser Performance Fee Rules

Last week, the SEC proposed adjusting the financial thresholds used to define a “qualified client” for purposes of the performance compensation rules under the Advisers Act, generally raising the net worth test from $1.5 million to $2 million and the assets under management test from $750,000 to $1 million. For the most part, only a

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