In this issue, we discuss recent enforcement actions involving investment advisers that allegedly made false and misleading statements about their use of artificial intelligence.
In this issue, we discuss among other things updated FAQs regarding compliance with the marketing rule under the Advisers Act, and amendments to Form PF.
The SEC backpedaled on its proposed rules that would have expanded the scope of underwriter liability and included a new safe harbor under the Investment Company Act of 1940. But the fina...
In this issue, we discuss a risk alert issued by the SEC’s Division of Examinations regarding investment adviser examinations, and recent enforcement actions involving advisers, conflic...
The amendments broaden the scope of the requirement for registered investment companies and business development companies (BDCs) to adopt a policy to invest at least 80% of the value of ...
The SEC’s amendments include new requirements related to quarterly statements, private fund audits, adviser-led secondaries, restricted activities, preferential treatment and annual rev...
