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Here is our latest report on regulatory developments relating to private equity and investment management. In this issue, we discuss, among other things, recent SEC enforcement actions i...
The SEC continued its recent focus on SPACs by filing charges against both sides of a planned but not yet completed SPAC merger, including charges against the SPAC and its CEO for adoptin...
Here is our latest report on regulatory developments relating to private equity and investment management. In this issue, we discuss, among other things, recent SEC enforcement actions in...
Here is our latest report on regulatory developments relating to private equity and investment management. In this issue, we discuss, among other things, recent SEC enforcement actions i...
Rules and Regulations
Updated FAQs on Modernized Registered Investment Company Reporting
SEC Staff Statement Regarding Termination of Exemptive Relief and Withdrawal of Staff Letters ...
Rules and Regulations
SEC Staff Statement on Withdrawal and Modification of Staff Letters Related to Rulemaking on Use of Derivatives and Certain Other Transactions by Registered Funds...
Following the White House statement on January 20, 2021 that effectively froze pending agency regulations, the amended marketing rule under the Advisers Act has now been published in the ...
Rules and Regulations
Effective Date Set for Final Rule on Registered Fund Valuations
Effective Date Set for Modernized Marketing Rule for Investment Advisers
SEC Staff Statement on ...
Rules and Regulations
Effective Date Set for Modernized Marketing Rule for Investment Advisers
Industry Update
SEC Division of Examinations Releases Examination Priorities f...