The U.S. Securities and Exchange Commission (SEC) recently adopted new rules and rule amendments under the Investment Advisers Act of 1940, as amended (the Advisers Act) that will increase the regulation of private fund...more
9/1/2023
/ Audits ,
Books & Records ,
Conflicts of Interest ,
Final Rules ,
Governance Standards ,
Investment Advisers Act of 1940 ,
Private Funds ,
Quarterly Report ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Transparency
SEC’s Office of Compliance Inspections and Examinations (OCIE) has recently issued a risk alert to registered investment advisers indicating their intent to focus on compliance oversight and controls with respect to the...more
Anti-money laundering (AML) regulation has continued to evolve since it was introduced in 1970 under the broad regulatory scheme commonly known as the Bank Secrecy Act. While funds and investment advisers have not been...more