Posted by UnitedAtlantic | investment adviser, regulatory action
Hopefully you are not as excited as we are about this, but 2023 SEC Examination Priorities (the “2023 Priorities”) are… Continue reading 2023 SEC Examination Priorities – Highlights for Investment Advisers
Read MorePosted by UnitedAtlantic | investment adviser
The Investment Advisers Act of 1940 (the “Advisers Act”) is the single most important piece of legislation for investment adviser… Continue reading The Investment Advisers Act of 1940 – A Summary
Read MorePosted by UnitedAtlantic | foreign advisers, investment adviser, registration, UK financial professionals
In a January post we discussed the registration process for United Kingdom-based financial services professionals as investment advisers in the… Continue reading Start Here! United Kingdom Financial Professionals Registering as Investment Advisers in the United States
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