Disclosure Requirements, Hedge Funds, Compliance

Predictions for 2025: What Private Fund Advisers Can Expect from SEC Examinations

SEC Compliance Consultants, Inc. (SEC³) on 3/10/2025

There has been a lot of conjecture that the SEC may become friendlier to registrants because of the new administration. Given the SEC’s mandate to protect the investing public, however, we do not expect SEC examiners to...more

Latest SEC Document Request Lists: What Private Fund Managers Should be Worrying About

SEC Compliance Consultants, Inc. (SEC³) on 8/22/2024

Many private fund managers are breathing a sigh of relief after the Fifth Circuit struck down the Private Fund Rules (check out our blog post for more information). Do not, however, assume the SEC will stop its aggressive...more

SEC and CFTC Adopt Amendments to Form PF for Increased Disclosure

K&L Gates LLP on 3/6/2024

Brief Overview - On 8 February 2024, the US Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly adopted amendments to Form PF (the Amendments), the confidential reporting form...more

SEC Strengthens Regulation 13D-G Rules for Beneficial Ownership Reporting

Proskauer Rose LLP on 10/20/2023

On October 10, 2023, the Securities and Exchange Commission adopted amendments to the rules governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. The adopting release...more

SEC Amends Form PF, Increasing Disclosure Obligations for Private Fund Advisors

ArentFox Schiff on 5/12/2023

On May 3, 2023, the Securities and Exchange Commission (SEC) adopted amendments to Form PF. Form PF is the “confidential reporting form for certain SEC-registered investment advisors to private funds” that “provides the...more

U.S. SEC Proposes Liquidity Risk Management Programs, Optional “Swing Pricing,” and Liquidity Reporting for Mutual Funds and...

K&L Gates LLP on 10/26/2015

On September 22, 2015, the Securities and Exchange Commission (“SEC”) proposed a new rule and amendments to rules and reporting forms under the Investment Company Act of 1940 (the “1940 Act”), designed to standardize...more

"Insights Special Edition: Dodd-Frank Rulemaking: Volcker Rule and SIFI Proposals: Hedge Fund and Private Equity Fund Sponsorship...

Skadden, Arps, Slate, Meagher & Flom LLP on 11/17/2011

The Volcker Rule prohibits a banking entity from sponsoring or investing in a hedge fund or private equity fund, subject to certain exceptions. The proposed regulations expand the definitions of “hedge fund” and “private...more

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