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Investment Adviser › Regulatory Reform › Disclosure Requirements

Skadden, Arps, Slate, Meagher & Flom LLP

How and When SEC Recordkeeping Rules May Apply to AI-Generated Content

Skadden, Arps, Slate, Meagher & Flom LLP on

AI has revolutionized the way many businesses operate. Firms in the financial sector are eager to take advantage of rapidly developing technologies but do not want to risk running afoul of relevant Securities and Exchange...more

Sullivan & Worcester

2024 Investment Adviser Regulatory and Compliance Annual Letter

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In 2024, investment advisers – those registered with the U.S. Securities and Exchange Commission (SEC) and those that file notices as exempt reporting advisers - will continue to feel the impact of the SEC’s recent rule...more

BCLP

SEC Adopts Long-Awaited Final Rules for Private Fund Advisers

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On August 23, 2023, in a 3-2 vote, the U.S. Securities and Exchange Commission (the “SEC”) adopted new rules (the “Final Rules”) under the Investment Advisers Act of 1940 (the “Advisers Act”) primarily affecting investment...more

Seyfarth Shaw LLP

An Early Glimpse into the SEC’s Private Funds Advisor Rule

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The Securities and Exchange Commission (SEC) has adopted the long awaited “Private Fund Adviser Rule” (the “PFA”). The proposed PFA was introduced on February 9, 2022 (“Proposed Rule”), and the SEC has been working with the...more

Dechert LLP

SEC Issues Rule Proposal Related to Certain Investment Advisers’ and Funds’ Disclosures About ESG Investment Practices

Dechert LLP on

Overview - The Securities and Exchange Commission, by a vote of three-to-one, proposed for public comment on May 25, 2022, a long-anticipated framework requiring certain registered funds and certain investment advisers to...more

Proskauer - The Capital Commitment

SEC Proposes ESG Reporting and Disclosure Requirements for Private Fund Advisers

Proskauer - The Capital Commitment on

On May 25, the Securities and Exchange Commission (“SEC”) issued proposed rules under the Investment Advisers Act of 1940 (“Advisers Act”) for advisers to private funds that consider environmental, social or governance...more

Stinson LLP

SEC Proposes New ESG Disclosures and Naming Rules for Investment Advisers and Funds

Stinson LLP on

On May 25, 2022, the Securities and Exchange Commission (SEC) approved proposals to the “Names Rule” (Rule 35d-1) under the Investment Company Act of 1940 (1940 Act), hereinafter referred to as Proposal One, and to the rules...more

Jones Day

SEC's Proposed Rules Target Advisers to Private Funds

Jones Day on

On February 9, 2022, the SEC proposed new rules focused on private fund advisers' practices, reporting, and disclosures ("Proposed Rules"). The Proposed Rules would apply to all SEC registered advisers to private funds, and a...more

Akin Gump Strauss Hauer & Feld LLP

Political Activity in the Omnibus

Akin Gump Strauss Hauer & Feld LLP on

The $1.3 trillion spending bill to fund the government for the remainder of FY 2018 (September 30) contained several provisions affecting campaign finance laws and regulations. Two provisions specifically prohibit the...more

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