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Investment Adviser › Private Funds › Annual Reports

SEC Compliance Consultants, Inc. (SEC³)

Top Tips for Updating Your 2024 Compliance Program

SEC Compliance Consultants, Inc. (SEC³) on

Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm's compliance policies...more

Cole Schotz

Investment Advisers Act Amendments

Cole Schotz on

The Securities and Exchange Commission (“SEC”) adopted new private fund adviser rules and amendments (the “Amendments”) to the Investment Advisers Act of 1940 (the “Advisers Act”). These Amendments create new obligations for...more

McDermott Will & Emery

SEC Proposes New Rules for Private Fund Advisers

McDermott Will & Emery on

US Securities and Exchange Commission (SEC) Chairman Gary Gensler has ramped up an aggressive regulatory agenda that zeroes in on advisers to private funds. On February 9, 2022, the SEC commissioners approved several proposed...more

King & Spalding

Widening the Aperture Beyond Retail-Focused Advisers

King & Spalding on

SEC Enforcement and Exams Likely to Focus More on Private Funds in the New Administration - For the next several weeks and months, intense focus will be trained on determining the priorities of the Biden administration. We...more

Carlton Fields

Feds Fish in Form PF

Carlton Fields on

Annual reports that the SEC must submit to Congress provide insight into how the agency is exploiting the wealth of information that private fund advisers are required to file with it on Form PF. The SEC developed Form PF...more

Dechert LLP

U.S. SEC Approves Proposals to Modernize Reporting Requirements for Registered Investment Companies and Registered Investment...

Dechert LLP on

The U.S. Securities and Exchange Commission (SEC) today unanimously approved proposals (Proposals) to modernize the reporting of information provided by registered investment companies (funds) and registered investment...more

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