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HighCamp-2020-Q1-Newsletter_Issued-March-30-2020-converted.pdf
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🔗 Source: highcampcompliance.com
📊 Size: 244 KB
📄 Pages: 3 pages
⬇️ Downloads: 68

Summary

2020 First Quarter Compliance Letter for Investment Advisers, issued March 30, 2020, discusses COVID-19's impact on the industry, SEC updates, and compliance guidance. Key points include:
- OCIE's statement on off-site examinations and the Commission's monitoring of the asset management industry.
- The Division of Investment Management's FAQ on inadvertent receipt of client funds or securities and temporary teleworking locations.
- The SEC's extension for filing and delivering Form ADV and Form PF due to COVID-19.
- Other COVID-19 considerations, such as telework environment, investment approach, staff infections, and oversight of operations.
- Q1 chronological list of key events, including SEC extensions, proposals, and settlements.
- Upcoming events and deadlines, including the COVID-19 extension for filing and delivering Form ADV and Form PF.

Description

2020 First Quarter Compliance Letter for Investment Advisers, issued March 30, 2020, discusses COVID-19's impact on the industry, SEC updates, and compliance...

Technical Information

  • File Format: PDF
  • File Size: 244 KB
  • Pages: 3
  • Language: EN
  • Total Downloads: 68
  • Last Updated: 1 month ago

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