Investment Management

In this issue, we discuss a Risk Alert issued by the SEC’s Division of Examinations regarding conflicts of interest invo...

The Department of Labor released its highly anticipated proposed rule that aims to expand access to alternative investment...

In this issue, we highlight the SEC Enforcement Director’s recent remarks regarding the Division’s enforcement priorit...

On April 20, 2026, the SEC and CFTC proposed amendments to Form PF, the confidential reporting form filed by SEC-registere...

In this issue, we discuss a recent enforcement action involving fraud and registration charges against three venture capit...

In this issue, we discuss a settled SEC enforcement action involving “season-and-sell” programs and new Division of In...

In this issue, we discuss proposed amendments to Form N-PORT reporting requirements, the SEC enforcement director’s firs...

In this issue, we discuss a compliance risk alert and new FAQs both regarding the Advisers Act Marketing Rule, proposed am...

The Federal Trade Commission has announced 2026 Hart-Scott-Rodino Act reporting thresholds starting at $133.9 million and ...

In this issue we discuss, among other things, an SEC exemptive order permitting a registered fund to offer exchange-traded...