Category: Cash Solicitation Rule
Cash Solicitation Rule | Disclosures | Hedge Funds | Private Equity Funds | Referrals | SEC Risk Alert
12 Things You Need to Know about Adviser Referral Arrangements and the Cash Solicitation Rule
OCIE recently issued a Risk Alert on common exam deficiencies in complying with the Cash Solicitation Rule, Rule 206(4)-3, of the Advisers Act. It is not surprising that OCIE decided…