On 23 August, the US Securities and Exchange Commission adopted new rules and rule amendments that will impose substantial regulation on the management and operation of private funds by investment advisers. The Guide to...more
3/1/2024
/ Asset Management ,
Audits ,
Compliance ,
Disclosure Requirements ,
Fund Managers ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Portfolios ,
Investors ,
New Rules ,
Private Funds ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC)
On 23 August, the US Securities and Exchange Commission adopted new rules and rule amendments that will impose substantial regulation on the management and operation of private funds by investment advisers. The Guide to...more
Environmental, social, and governance (ESG) and the sustainable economy are concepts that often overlap and frequently intertwine. Whether viewed separately or together, they have significantly changed global investing and...more
2/14/2023
/ Carbon Emissions ,
Clean Energy ,
Corporate Governance ,
Corporate Social Responsibility ,
Energy Sector ,
Environmental Justice ,
Environmental Social & Governance (ESG) ,
Greenhouse Gas Emissions ,
Investment Management ,
Investors ,
Popular ,
Supply Chain ,
Sustainability ,
Sustainable Business Practices
Executive Summary - On 25 May 2022, the U.S. Securities and Exchange Commission (the SEC) proposed amendments to existing rules and reporting forms (the Proposed Amendments) designed to promote consistent, comparable, and...more
Environmental, social, and governance (ESG) and the sustainable economy are concepts that often overlap and frequently intertwine. Whether viewed separately or together, they have significantly changed global investing and...more
RECENT SEC ENFORCEMENT ACTIONS -
FEES AND EXPENSE ALLOCATIONS -
ECP Manager (Sept. 27, 2019) Administrative Proceeding File No. 3-19535 -
- A PE adviser settled claims which alleged that it caused its fund to overpay...more
Changes to the MiFID II regulatory regime will impose new obligations on many global investment managers both inside and outside the European Union (“EU”). While the precise scope of these obligations will depend, in many...more