In this issue, we discuss, among other things, SEC exam priorities for registered investment advisers and recent enforcement actions involving private fund advisers.
The SEC has proposed expanding what constitutes a “dealer,” which could have the effect of requiring many private funds and principal trading firms to register with the SEC.
In this issue, we discuss, among other things, recent SEC proposals to enhance private fund investor protections and a recent enforcement action involving a private equity fund adviser.
In this issue, we discuss, among other things, recent SEC proposals to enhance private fund investor protections and a recent enforcement action involving a private equity fund adviser.
In this issue, we discuss recent SEC proposals relating to Form PF, cybersecurity and requirements for private fund advisers, as well as recent enforcement actions involving “hedge clau...
In this issue, we discuss recent SEC proposals relating to Form PF, cybersecurity and requirements for private fund advisers, as well as recent enforcement actions involving “hedge clau...
The SEC proposed new cybersecurity rules for investment advisers and investment companies that would require policies and procedures, annual reviews, reporting to the SEC, disclosures to ...
The SEC’s proposed new rules and amendments include new requirements related to quarterly statements, private fund audits, adviser-led secondaries, prohibited activities, preferential t...
In this issue, we discuss the SEC’s proposed amendments to Form PF, SEC staff observations regarding Form CRS compliance and examinations of private fund advisers, and a recent enforcem...
In this issue, we discuss the SEC’s proposed amendments to Form PF, SEC staff observations regarding Form CRS compliance and examinations of private fund advisers, and a recent enforcem...
