As we look back on the SEC’s actions in 2024, we wanted to share our thoughts on lessons learned that we believe will carry through to 2025....more
1/27/2025
/ Asset Management ,
Beneficial Owner ,
Corporate Transparency Act ,
Cybersecurity ,
Form PF ,
Fund Managers ,
Incident Response Plans ,
Investment Adviser ,
Investment Management ,
MNPI ,
Policies and Procedures ,
Private Funds ,
Reporting Requirements ,
Risk Management ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Compliance officers love checklists, so we’ve put together some “to dos” to consider completing before the end of the year. Enjoy!...more
12/3/2024
/ Capital Markets ,
Compliance ,
Employee Retirement Income Security Act (ERISA) ,
Investment ,
Investment Adviser ,
Investment Firms ,
Investment Management ,
Popular ,
Private Funds ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC)
Many private fund managers are breathing a sigh of relief after the Fifth Circuit struck down the Private Fund Rules (check out our blog post for more information). Do not, however, assume the SEC will stop its aggressive...more
8/22/2024
/ Asset Management ,
Compliance ,
Conflicts of Interest ,
Disclosure Requirements ,
Financial Services Industry ,
Fund Managers ,
Hedge Funds ,
Investment Adviser ,
Investment Firms ,
Investment Management ,
Investors ,
Limited Partnerships ,
Private Equity ,
Private Funds ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Private Fund Rules Cancelled, Survey Says Marketing Rule is a Lot of Work and the Intersection of Regulation BI and Investment Adviser’s Fiduciary Duty - Welcome to our June Regulatory Roundup, where we provide you with a...more
6/28/2024
/ Advertising ,
Asset Management ,
Broker-Dealer ,
Compliance ,
Fiduciary Duty ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Investors ,
Marketing ,
Private Equity Funds ,
Private Funds ,
Regulation BI ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC) ,
Securities Regulation