News & Analysis as of

Recordkeeping Requirements Advisors Act

Lowenstein Sandler LLP

SEC Settlement Highlights Continued Scrutiny of Off-Channel Communications

Lowenstein Sandler LLP on

On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced yet another settlement regarding “off-channel communications.” As we have previously written about, settlements of this type have become...more

Morrison & Foerster LLP

SEC Proposes New Rules and Amendments Applicable to Private Fund Advisers

On February 9, 2022, the U.S. Securities and Exchange Commission (the “SEC”) proposed new rules and amendments under the Investment Advisers Act of 1940 (the “Advisers Act”) to augment the regulation of private fund advisers....more

2 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide