On May 16, 2024, the SEC adopted amendments (the “Amendments”) to Regulation S-P to require SEC-registered investment advisers and broker-dealers (collectively, “Covered Institutions”) to develop, implement, and maintain...more
6/11/2024
/ Amended Regulation ,
Broker-Dealer ,
Compliance ,
Covered Entities ,
Customer Privacy ,
Incident Response Plans ,
Personal Data ,
Registered Investment Advisors ,
Regulation S-P ,
Securities and Exchange Commission (SEC) ,
Sensitive Personal Information
Dorsey’s 2024 Private Funds Compliance Calendar addresses certain key regulatory obligations that may apply to private funds and private fund advisers.
The 2024 Private Funds Regulatory Compliance Calendar (“Calendar”)...more
The Securities and Exchange Commission (the “SEC”) adopted a new short position and short activity disclosure requirement under Rule 13f-2 of the Securities Exchange Act of 1934 (the “Exchange Act”). Under Rule 13f-2, an...more
11/10/2023
/ Banking Sector ,
Broker-Dealer ,
Brokers ,
Disclosure Requirements ,
Equity Securities ,
Financial Services Industry ,
Institutional Investors ,
Insurance Industry ,
Investment Adviser ,
New Regulations ,
Pension Funds ,
Regulation SHO ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
The Securities and Exchange Commission (the “SEC”) proposed new rules under the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 to address the risks to investors from conflicts of interest associated...more
8/17/2023
/ Analytics ,
Artificial Intelligence ,
Broker-Dealer ,
Conflicts of Interest ,
Financial Services Industry ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Machine Learning ,
Proposed Rules ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934
The Securities and Exchange Commission (the “SEC”) recently proposed new rule 206(4)-11 and related recordkeeping and reporting requirements (collectively, the “Proposed Rule”) under the Investment Advisers Act of 1940 (the...more