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      Page 33 - 期貨和衍生品行業(yè)監管動(dòng)態(tài)(2024年4月)
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      期貨和衍生品行業(yè)監管動(dòng)態(tài)
      
      
      
      
                         SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively
                         Through the Internet (2024/3/27)
      
      
      
                              The Securities and Exchange Commission today adopted amendments to the rule
      
                         permitting certain internet investment advisers to register with the Commission (the
      
                         “internet adviser exemption”). The amendments will require an investment adviser
      
                         relying on the internet adviser exemption to have at all times an operational
      
                         interactive website through which the adviser provides digital investment advisory
      
                         services on an ongoing basis to more than one client. The amendments will also
      
                         eliminate the current rule’s de minimis exception by requiring an internet investment
      
                         adviser to provide advice to all of its clients exclusively through an operational
      
                         interactive website and to make certain corresponding changes to Form ADV.
      
      
                              “These amendments modernize a 22-year-old rule to better protect investors in a
      
                         digital age,” said SEC Chair Gary Gensler. “These changes better reflect what it
      
                         means in 2024 truly to provide an exclusively internet-based service. This will better
      
                         align registration requirements with modern technology and help the Commission in
      
                         the efficient and effective oversight of registered investment advisers.”
      
      
      
                              The amendments will become effective 90 days after publication in the Federal
                         Register. An adviser relying on the internet adviser exemption must comply with the
      
      
                         rule, including the requirement to amend their Form ADV to include a representation
      
                         that the adviser is eligible to register with the Commission under the internet adviser
      
                         exemption, by March 31, 2025. Most investment advisers will have filed their annual
      
                         updating amendments to Form ADV by this date i.e., 90 days after the Dec. 31, 2024,
      
                         fiscal year end. An adviser that is no longer eligible to rely on the amended exemption
      
                         and does not otherwise have a basis for registration with the Commission must
      
                         register in one or more states and withdraw its registration with the Commission by
      
                         filing a Form ADV-W by June 29, 2025.
      
      
                         https://www.sec.gov/news/press-release/2024-42
      
      
      
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