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Broker-Dealer Fund Managers New Rules

Goodwin

Further easing the US-UK Divide: Extending the Buy-Side Investment Research Rules to Fund Managers

Goodwin on

In our previous alert Paying for Buy-Side Investment Research: New Rules Ease the US-UK Divide | Insights & Resources | Goodwin we discussed the Financial Conduct Authority (FCA) final rules in its policy paper PS24/9:...more

DarrowEverett LLP

How SEC’s Private Fund Rules Will Affect Use of Side Letters

DarrowEverett LLP on

Recent client alerts have provided an overview of the new “private fund rules” adopted in late August by the U.S. Securities and Exchange Commission (SEC). These rules apply, subject to limited exceptions and carveouts, to...more

McDermott Will & Schulte

SEC Adopts Substantive Requirements for Advisers to Private Funds

On August 23, 2023, the US Securities & Exchange Commission (SEC) adopted new and amended rules (the New Rules) under the Investment Advisers Act of 1940 (Advisers Act) that focus on the SEC’s desire to address what it views...more

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