News & Analysis as of October 19, 2024

Investment Adviser

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A repository for the most well-read content on JD Supra at any given time, along with occasional roundups of popular content by specific topic. Also stop by for monthly recaps of hot articles for the previous... more +

AML Update: SEC and FinCEN Propose Anti-Money Laundering and Customer Identification Programs for Investment Advisers

K&L Gates LLP on 6/27/2024

Introduction - On 13 May 2024, the Securities and Exchange Commission (SEC) and the US Department of Treasury’s (DoT) Financial Crimes Enforcement Network (FinCEN) jointly proposed rulemaking to implement Section 326 of the...more

Investment Management Update - February 2023

Skadden, Arps, Slate, Meagher & Flom LLP on 3/1/2023

In this issue, we cover regulatory developments impacting the investment management sector, including updates on closed-end fund activism and various new and revised SEC rules....more

The SEC’s Fast-Approaching Cybersecurity Overhaul for Public Companies and Regulated Entities

Pillsbury Winthrop Shaw Pittman LLP on 2/6/2023

The SEC has nearly doubled the size of its Crypto Assets and Cyber Unit and has aggressively pursued cyber-related enforcement actions against public companies and regulated entities. In a few months the SEC will finalize...more

Going for Brokerages: FINRA and SEC Take Aim at Deficient Cyber Policies and Practices

Orrick, Herrington & Sutcliffe LLP on 6/18/2015

On Feb. 3, the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) each released reports regarding cybersecurity issues for brokerage and advisory firms, both of which should be...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 5/30/2014

Concerns Noted During Private Equity Adviser Exams - Routine examinations by the SEC at advisory firms who manage the assets of private equity funds have uncovered some serious concerns about the way such advisers...more

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