The incoming Trump administration will bring significant changes to regulatory policy as it relates to the asset management industry, and private funds, in particular...more
11/14/2024
/ AML/CFT ,
Anti-Money Laundering ,
Asset Management ,
CFTC ,
Cryptocurrency ,
Department of Labor (DOL) ,
Disclosure Requirements ,
Employee Retirement Income Security Act (ERISA) ,
Environmental Social & Governance (ESG) ,
Investors ,
IRS ,
Policies and Procedures ,
Private Funds ,
Proposed Rules ,
Recordkeeping Requirements ,
Rulemaking Process ,
Securities ,
Securities and Exchange Commission (SEC) ,
Tax Cuts and Jobs Act
On February 7, the Division of Examinations of the Securities and Exchange Commission (the “Division”) published its 2023 Examination Priorities (the “Exam Priorities”).1 The Exam Priorities indicate a particular Staff...more
9/18/2023
/ Business Development Companies ,
Business Expenses ,
CFTC ,
Compliance ,
Conflicts of Interest ,
Cybersecurity ,
Data Protection ,
Environmental Social & Governance (ESG) ,
Fees ,
Investment Advisers Act of 1940 ,
Private Funds ,
Registered Investment Advisors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Special Purpose Acquisition Companies (SPACs)