Month: October 2024

Are You a Fund Manager Looking to Set Up a Separate Entity and Avoid Registration? Recent SEC Enforcement Action Highlights Risks of Operational Integration for Firms

In a recent enforcement action announced by the Securities and Exchange Commission (SEC), the issue of how one investment adviser can affect the exemption status of related advisers under the Investment Advisers Act of 1940 (Advisers Act) has come into focus. The action serves as a timely reminder for fund […]

Katelyn Kimber and Stacey Song / October 2, 2024

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Month: October 2024

Are You a Fund Manager Looking to Set Up a Separate Entity and Avoid Registration? Recent SEC Enforcement Action Highlights Risks of Operational Integration for Firms