On February 7, 2023, the SEC’s Division of Examinations (the “Division”) announced its 2023 examination priorities (“Examination Priorities”). The Division indicated that 2023 examinations will prioritize several significant...more
This Memorandum is intended to remind you of certain U.S. annual requirements that may be applicable to your business and is divided into five sections. All investment advisers (whether or not registered with the Securities...more
1/5/2023
/ Audits ,
Blue Sky Laws ,
Commodity Trading Advisors (CTAs) ,
Disclosure Requirements ,
Eligibility ,
Employee Retirement Income Security Act (ERISA) ,
Environmental Social & Governance (ESG) ,
Filing Deadlines ,
Financial Industry Regulatory Authority (FINRA) ,
IARD ,
Investment ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Personal Information ,
Policies and Procedures ,
Private Offerings ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934
In June 2019, the Institutional Limited Partners Association (“ILPA”) released the third edition of its private equity industry best practices principles fostering transparency, governance and alignment of interests for...more
9/8/2022
/ Best Practices ,
Coronavirus/COVID-19 ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Governance Standards ,
Institutional Limited Partners Association (ILPA) ,
Investment ,
Investors ,
LPAC ,
Private Equity ,
Private Equity Funds ,
Special Purpose Vehicles ,
Transparency