Join representatives from the SEC's Division of Investment Management and OCIE in London on 1 June at a workshop devoted to CCOs and SEC Inspections. Learn about the new exemptions from registration and the new approach to exams.

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June 22, 2011 - At its Open Meeting today, the US Securities and Exchange Commission adopted long-anticipated new rules that will compel a significant number of investment advisers doing business in the United States to register with the Commission. 

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On 22 June, the SEC will consider and, as expected, adopt new exemptions from registration as an investment adviser under the US Investment Advisers Act of 1940.

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CompliGlobe and the Regulatory Compliance Association are pleased to announce that CompliGlobe has become an endowing member of the RCA.

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