On February 8, 2024, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) (together, the Commissions) jointly adopted additional amendments to Form PF, the confidential form by...more
Lowenstein Sandler’s Investment Management Group is pleased to provide you with the summaries and checklists described below.
Summaries of recent legal developments with respect to:
•SEC’s 2023 Examination Priorities-...more
4/7/2023
/ CFTC ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
Custody Rule ,
Cybersecurity ,
Electronic Communications ,
Employee Retirement Income Security Act (ERISA) ,
Fund Managers ,
Investment Adviser ,
Office of Foreign Assets Control (OFAC) ,
Popular ,
Proxy Voting ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Virtual Currency