SEC Finalizes Changes to Private Fund Rules: #allegiantglobalsolutions #hedgefunds #privatefunds #privateequity #sec #alternativeinvestments #fundcompliance
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Allegiant in a Nutshell. To read more, please go to www.allegiant-global.com
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A Washington Tale: Now Yous CAN Leave FTC Announces Rule Banning Noncompetes
FTC Announces Rule Banning Noncompetes
ftc.gov
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SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures:
SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures
sec.gov
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The Cayman Islands’ removal from the EU’s list of jurisdictions with deficiencies in their AML/CFT (anti-money laundering and countering the financing of terrorism) regimes will become effective on 7 February.
Cayman Islands Removed from the EU’s AML List
https://www.mfs.ky
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2024 Resolution to seek new opportunities? Please view Allegiant's open positions. https://lnkd.in/eCGBqzjr
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Christmas Comes Early at the SEC; check out the link below to see what the 2024 exams will be focusing on Make sure you are prepared, contact Allegiant Global Solutions, LLC for all of your compliance needs!
SEC Exam Priorities 2024
sec.gov
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PLAYING THE NAME GAME: SEC Approves Changes to the Fund Names Rule
SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Names
sec.gov
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Since 2021, the SEC has levied over $1.5 billion in penalties relating to the use of off-channel communications, including text messages and instant messaging apps by financial firms’ employees to conduct business, and, in turn, the firms’ failure to preserve those messages. Proactively taking steps to stay compliant is essential. Allegiant Global Solutions, LLC has extensive experience helping clients with these issues. Let us help your firm stay on track!
SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures
sec.gov
