In this issue, we discuss, among other things, the SEC Division of Examinations’ exam priorities for 2026, and a recent FINRA enforcement action against a wholesale distributor of inves...
Davis Polk partners Luke Eldridge, Zachary Frimet, Chris Healey and Michael Hong and counsel Matthew Wiener contributed to Global Legal Insights’ Private Credit 2026.Luke, Zachary and C...
In this issue, we discuss a recent no-action letter relating to the use of state trust companies as permitted custodians for crypto assets under relevant Advisers Act and Investment Compa...
In this issue, we discuss, among other things, the further extension of the compliance date for Form PF amendments, and a recent enforcement action involving alleged violations of the mar...
President Trump’s August 7, 2025 retirement plan Executive Order underscores the administration’s objective to make alternative assets available to defined-contribution plan participa...
In this issue, we discuss an ADI issued by the SEC’s Division of Investment Management regarding registered closed-end funds of private funds, as well as a recent enforcement action inv...
In this issue, we discuss FinCEN’s postponement of the effective date for a final anti-money laundering rule that was issued in August 2024 for investment advisers, as well as a recent ...
In this issue, we discuss state law restrictions on the use of ESG factors by financial institutions, including with respect to managing investments or investment standards for public funds.
In this issue, we discuss updated compliance dates for registered funds regarding amended Form N-PORT reporting requirements, and co-investment exemptive relief for BDCs and closed-end fu...
