The US Securities and Exchange Commission (SEC) released a press release on January 15 announcing that it had charged Navy Capital Green Management, LLC, an investment adviser, with violations of the Investment Advisers Act...more
The US Securities and Exchange Commission (SEC) recently released its priorities for 2025. As in recent years, the SEC is focusing on fiduciary duties and the development of compliance programs as well as emerging risk areas...more
1/14/2025
/ Artificial Intelligence ,
Compliance ,
Cybersecurity ,
Fiduciary Duty ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Private Funds ,
Regulatory Agenda ,
Risk Management ,
Securities and Exchange Commission (SEC)
On June 5, the US Court of Appeals for the Fifth Circuit vacated a US Securities and Exchange Commission (SEC) Rule designed to provide investors in private funds — such as private equity, private credit, hedge funds, venture...more
In September 2023, we covered the Rules (Rule) published by the US Securities and Exchange Commission (SEC), developed to promote transparency for investors by increasing visibility into compensation schemes, sales practices,...more
5/17/2024
/ Administrative Procedure Act ,
Compensation ,
Compliance ,
Deadlines ,
Dodd-Frank ,
Food and Drug Administration (FDA) ,
Investment Advisers Act of 1940 ,
Investors ,
Oral Argument ,
Private Funds ,
Securities and Exchange Commission (SEC) ,
Transparency
The US Securities and Exchange Commission (SEC) Division of Examinations recently released its 2024 Examinations Priorities, a yearly report that provides insight into the Division’s areas of focus to improve compliance,...more
10/26/2023
/ Business Valuations ,
Compliance ,
Conflicts of Interest ,
Cryptoassets ,
Disclosure Requirements ,
Examination Priorities ,
Fees ,
Fraud ,
Illiquid Assets ,
Information Security ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Policies and Procedures ,
Portfolio Managers ,
Proprietary Trading ,
Reporting Requirements ,
Risk Management ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
On August 23, 2023, in its efforts to promote transparency for investors by increasing visibility into compensation schemes, sales practices, and conflicts of interest, the US Securities and Exchange Commission (SEC) adopted...more
9/12/2023
/ Administrative Procedure Act ,
Attorney's Fees ,
Audits ,
Clawbacks ,
Compensation ,
Compliance ,
Conflicts of Interest ,
Deadlines ,
Disclosure Requirements ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Portfolios ,
Investors ,
New Amendments ,
New Rules ,
Private Funds ,
Recordkeeping Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Transparency
On October 26, 2022, the US Securities and Exchange Commission (SEC) proposed a new rule and rule amendments under the Investment Advisors Act that, if passed, would prohibit registered investment advisors from outsourcing...more
As use of cryptocurrency investment has increased throughout the world, regulators have faced a bevy of novel questions, especially related to applying different strains of law to regulate novel digital assets. To date,...more
8/9/2022
/ CFTC ,
Coinbase ,
Corporate Counsel ,
Cryptoassets ,
Cryptocurrency ,
Digital Assets ,
Insider Trading ,
Investment ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Non-Fungible Tokens (NFTs) ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act