On August 23, 2023, the U.S. Securities and Exchange Commission (SEC) adopted new and amended rules under the Investment Advisers Act of 1940, as amended (the Advisers Act), to address what it perceives as certain conflicts...more
9/26/2023
/ Borrowers ,
Clawbacks ,
Compliance ,
Consent ,
Disclosure Requirements ,
Enforcement Actions ,
Fiduciary Duty ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Legacy Funds ,
Negligence ,
Notice Requirements ,
Portfolio Managers ,
Private Funds ,
Recordkeeping Requirements ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Willful Misconduct ,
Written Consent
On August 23, 2023, the U.S. Securities and Exchange Commission (SEC) announced the enactment of a series of new and amended rules under the Investment Advisers Act of 1940, as amended (the Advisers Act). We refer to these...more
8/30/2023
/ Audits ,
Compliance ,
Consent ,
Custody Rule ,
Disclosure Requirements ,
Final Rules ,
Fund Managers ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investors ,
Private Funds ,
Quarterly Report ,
Recordkeeping Requirements ,
Registered Investment Advisors ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Transparency
On March 3, the U.S. Securities and Exchange Commission announced its examination priorities for 2021, providing a much-anticipated glimpse into the Biden administration's overall priorities for white collar criminal...more
3/15/2021
/ Anti-Money Laundering ,
Biden Administration ,
Capital Markets ,
Chief Compliance Officers ,
Climate Change ,
Compliance ,
Coronavirus/COVID-19 ,
Data Security ,
Digital Assets ,
Disaster Preparedness ,
Environmental Social & Governance (ESG) ,
Fraud Prevention ,
Libor ,
Liquidity ,
Military Service Members ,
Operational Requirements ,
Private Funds ,
Registered Investment Advisors ,
Remote Working ,
Retail Investors ,
Retirement ,
Securities and Exchange Commission (SEC) ,
Standard of Conduct ,
Teachers ,
Technology Sector ,
Turnkey Contracts ,
White Collar Crimes