Mid-February Regulatory Updates from Cari Hopsfenperger at Foreside.
Topics include:
- Observations from Examinations of Private Fund Advisors
- Wisconsin Becomes Latest State to Adopt Continuing Ed Requirements for Investment Adviser Representatives
- Private Fund Managers Holding More Than $200 Million in Foreign Assets Face Form SHC Filing Obligation
- FINRA Extends Relief for Remote Inspections in 2022
- NFA Also Extends Relief for Remote Inspections in 2022
