Private Equity Regulatory Update - December 2020
Rules and Regulations
- SEC Adopts Modernized Marketing Rule for Investment Advisers
- OCIE Issues Risk Alert on Observations from Examinations of Investment Adviser Compliance Programs
- Staff Statement on Wyoming Division of Banking's "NAL on Custody of Digital Assets and Qualified Custodian Status"
- Five Advisory Firms and Broker-Dealers Settle SEC Charges Relating to Improper Sales of Exchange-Traded Products
- SEC Settles with Investment Advisers for Alleged Disclosure Failures Relating to Transfer of "Top Traders" to Proprietary Hedge Fund