by Asher Ang | Jan 4, 2022 | Securities Blog
The Investment Advisers Act of 1940 (“Act”) was enacted to regulate financial advisers who provide investment advice to the general public. The baseline principle of the Act is (1) any person (2) who, for compensation, (3) engages in the business of...
by Asher Ang | Dec 22, 2021 | Securities Blog
Guarding our capital markets and protecting American investors from fraud, the US Securities and Exchange Commission (“SEC”) regulates both foreign and domestic issuers that engage in the sale and distribution of securities in the United States. Without getting into...
by Asher Ang and Dennis Wurst | Dec 7, 2021 | Blog, Securities Blog
What is your fund acquiring? Why does that matter? The first question that we ask in fund creation is, “What is your fund acquiring?” Real estate, mineral rights, stock, bonds, commodities, currencies, crypto assets, or interests in other funds (also known as “fund...
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