In his first public address as Chairman of the U.S. Securities and Exchange Commission, Paul Atkins laid out his regulatory vision during the SEC Speaks conference on May 19, 2025....more
SEC Clarifies Marketing Rule, Warms up to Crypto and Private Placements under 506(c), and Backs off Form SHO; Latest Lessons from EXAMS: Duty of Care and Risk Identification Failures - Welcome to our February and March 2025...more
4/7/2025
/ Beneficial Owner ,
Cryptocurrency ,
Digital Assets ,
Enforcement Actions ,
Executive Orders ,
Fiduciary Duty ,
FinCEN ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Private Funds ,
Rule 506(c) ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
There has been a lot of conjecture that the SEC may become friendlier to registrants because of the new administration. Given the SEC’s mandate to protect the investing public, however, we do not expect SEC examiners to...more
3/10/2025
/ Anti-Money Laundering ,
Asset Management ,
Broker-Dealer ,
Compliance ,
Disclosure Requirements ,
Enforcement Actions ,
Hedge Funds ,
Investment Adviser ,
Investment Management ,
Private Equity ,
Private Funds ,
Regulation S-P ,
Regulatory Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation