On February 9, 2022, the U.S. Securities and Exchange Commission (the “SEC”) proposed new rules and amendments under the Investment Advisers Act of 1940 (the “Advisers Act”) to augment the regulation of private fund advisers....more
2/15/2022
/ Advisors Act ,
Audits ,
CFTC ,
GAAP ,
Investment Adviser ,
Investment Portfolios ,
PCAOB ,
Private Funds ,
Quarterly Report ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC)
On June 23, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert identifying common deficiencies and compliance issues it has observed in examinations of registered investment...more