In this issue, we discuss a risk alert relating to the Advisers Act Marketing Rule and recent enforcement actions regarding valuation and management fees.
In this issue, we discuss an SEC Examinations Division risk alert on LIBOR-transition preparedness, and recent remarks of SEC Director Birdthistle regarding developments in the asset man...
In this issue, we discuss an SEC Examinations Division risk alert on LIBOR-transition preparedness, an SEC staff bulletin on standards of conduct for investment advisers and a recent enfo...
The SEC’s amendments to Form PF include new event reporting requirements for large hedge fund advisers within 72 hours of the occurrence of certain events, and for private equity fund a...
In this issue, we discuss Risk Alerts issued by the SEC Examinations Division regarding examinations of newly-registered advisers and the safeguarding of customer information at branch of...
In this issue, we discuss Risk Alerts issued by the SEC Examinations Division regarding examinations of newly-registered advisers and the safeguarding of customer information at branch of...
In this issue, we discuss recent rule proposals regarding cybersecurity risk management and protection of customer information by registered advisers and investment companies.
In this issue, we discuss recent rule proposals regarding cybersecurity risk management and protection of customer information by registered advisers and investment companies.
In this issue we discuss, among other things, SEC Division of Examinations priorities for 2023 and a recent enforcement action involving an adviser’s alleged conflict of interest with r...
In this issue we discuss, among other things, SEC Division of Investment Management guidance regarding registered funds and differential advisory fee waivers, SEC Division of Examinations...
