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...
In this issue we discuss, among other things, an update to SEC FAQs regarding compliance with the Advisers Act marketing rule, and a recent enforcement action involving a portfolio manage...
In this issue we discuss, among other things, an update to SEC FAQs regarding compliance with the Advisers Act marketing rule, and a recent enforcement action involving a portfolio manage...
In this issue, we discuss, among other things, a risk alert issued by the SEC’s Division of Examinations on compliance examinations related to identity theft prevention under Regulation...
