The Securities and Exchange Commission’s (“SEC”) National Examination Program is designed to improve compliance, prevent fraud, monitor risk and inform policy. It is also a consistent source of referrals to the SEC’s Division...more
11/13/2024
/ Artificial Intelligence ,
Compliance ,
Confidentiality Agreements ,
Custody Rule ,
Disclosure Requirements ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Filing Requirements ,
Fraud ,
Fund Managers ,
Greenwashing ,
Indemnification ,
MNPI ,
Pay-To-Play ,
Recordkeeping Requirements ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Whistleblowers
In a significant decision released Wednesday morning, a unanimous three-judge panel for the U.S. Court of Appeals for the Fifth Circuit vacated what have come to be known as the Private Fund Adviser Rules, a set of rules and...more
On February 9, 2022, the U.S. Securities and Exchange Commission (the "SEC") proposed new rules and amendments to existing rules (the "Proposed Rules") under the U.S. Investment Advisers Act of 1940, as amended (the "Advisers...more
This yearly report provides a summary of some of the significant changes and developments that occurred in the past year in the hedge fund and private equity spaces, as well as certain recommended practices that investment...more