Each year, the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (Division) prioritizes the examination of certain practices, products and services that it believes present potentially heightened risks...more
In connection with annual compliance manuals reviews and the conclusion of Form ADV season, firms should consider updating for compliance with amended Rule 206(4)-1 (the “Marketing Rule”) under the Investment Advisers Act....more
On January 26, 2022, the Securities and Exchange Commission (the “SEC”) approved a proposal to amend Form Private Fund (“Form PF”) to (i) require additional reporting from advisers to large hedge funds and private equity...more
2/14/2022
/ Comment Period ,
Financial Regulatory Reform ,
Form PF ,
Hedge Funds ,
Investment Adviser ,
Private Equity ,
Private Funds ,
Proposed Amendments ,
Regulatory Agenda ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation