The incoming Trump administration will bring significant changes to regulatory policy as it relates to the asset management industry, and private funds, in particular...more
11/14/2024
/ AML/CFT ,
Anti-Money Laundering ,
Asset Management ,
CFTC ,
Cryptocurrency ,
Department of Labor (DOL) ,
Disclosure Requirements ,
Employee Retirement Income Security Act (ERISA) ,
Environmental Social & Governance (ESG) ,
Investors ,
IRS ,
Policies and Procedures ,
Private Funds ,
Proposed Rules ,
Recordkeeping Requirements ,
Rulemaking Process ,
Securities ,
Securities and Exchange Commission (SEC) ,
Tax Cuts and Jobs Act
Investment managers who manage private employee benefit plan and individual retirement account (collectively, “Plan”) assets have long relied on Prohibited Transaction Class Exemption 84-14 (commonly referred to as the “QPAM...more
4/9/2024
/ Criminal Convictions ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Federal Register ,
Internal Revenue Code (IRC) ,
Investment Management ,
IRS ,
Notification Requirements ,
QPAM ,
Recordkeeping Requirements ,
Registration Requirement ,
Retirement ,
Willful Misconduct