Launching a private equity fund is an exciting yet daunting endeavor; and a General Partner (GP) Advisory Board can be a critical asset in navigating the complexities. Thoughtfully designing and engaging a GP Advisory Board...more
1/9/2025
/ Board of Directors ,
Conflicts of Interest ,
Corporate Governance ,
D&O Insurance ,
Fund Managers ,
General Partner ,
Indemnification ,
Investment ,
Investment Adviser ,
Investment Funds ,
Investors ,
Private Equity ,
Private Equity Firms ,
Private Equity Funds ,
Risk Management ,
Risk Mitigation
On February 7, 2023, the Securities and Exchange Commission’s Division of Examinations announced its fiscal year 2023 examination priorities. This year, the Division continues its focus on protecting investors by prioritizing...more
2/16/2023
/ Broker-Dealer ,
Cryptoassets ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Libor ,
MSRB ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
On March 30, 2022, the Security and Exchange Commission’s Division of Examinations announced its fiscal year 2022 examination priorities. This year’s theme is empowering compliance officers. Once again, the Division’s...more
The North American Securities Administrators Association (NASAA) released its Investment Adviser Section Annual Report (Report) in April 2021, highlighting 2020 section activities. The Report focuses largely on two topics:...more
At long last, the SEC has finally published its Revised Investment Adviser Marketing Rule. effective as of May 4, 2021. Investment advisers will have 18 months following the effective date, or until November 4, 2022, to come...more
3/11/2021
/ Advertising ,
Compliance ,
Endorsements ,
Investment Adviser ,
Marketing ,
Performance Reviews ,
Policies and Procedures ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Social Media ,
Third-Party
Significant changes are coming to state, regulatory, and federal law with respect to reporting financial abuse of "vulnerable persons." These legal changes will impact the day-to-day operations of financial services...more
Effective October 1, 2017, investment advisers must adhere to amended requirements regarding the investment adviser public disclosure form (Form ADV). The Securities Exchange Commission (the SEC) announced these amendments in...more
Today, April 7, 2017, the Federal Register published the U.S. Department of Labor's (DOL) final rule extending the applicability date of the ERISA Fiduciary Rule from April 10, 2017 to June 9, 2017.
Other delays included...more