Title

Private Equity Regulatory Update - December 2020
Client Newsletter

Created date

12/30/2020

COVID-19 Update

Rules and Regulations

  • SEC Adopts Modernized Marketing Rule for Investment Advisers

 

Industry Update

  • OCIE Issues Risk Alert on Observations from Examinations of Investment Adviser Compliance Programs
  • Staff Statement on Wyoming Division of Banking's "NAL on Custody of Digital Assets and Qualified Custodian Status"

 

Litigation

  • Five Advisory Firms and Broker-Dealers Settle SEC Charges Relating to Improper Sales of Exchange-Traded Products
  • SEC Settles with Investment Advisers for Alleged Disclosure Failures Relating to Transfer of "Top Traders" to Proprietary Hedge Fund