Regulatory Alerts2018-10-12
New Rule and Sundry Amendments to the Rules and Regulations of the Commission
This document introduces a new regulatory framework for Green Bonds, specifying qualification criteria, utilization of proceeds, and mandatory annual reporting requirements for issuers. It further amends the Rules and Regulations to incorporate Bank Verification Numbers as valid client identification, establishes comprehensive guidelines for investment advisory services, and updates rules regarding nominee accounts. Furthermore, the Commission mandates new registration exemptions for specific professionals and establishes strict qualification and certification standards for investment adviser representatives.
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