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The Proposed DOL Fiduciary Rule: Significant Changes for Advisers
This article discusses the DOL’s November 2023 proposed fiduciary rule amendments, including proposed amendments to Prohibited Transaction Exemption (PTE) 2020-02, and their impact on SEC-registered investment advisers.
November 30, 2023
October 2023 Sample Examination Letter – Boston – Marketing Rule and ESG
This is a sample SEC examination letter from October 2023 from the Boston office that includes questions on the Marketing Rule and ESG investing.
October 31, 2023
Client alert on private fund adviser performance under the marketing rule. By Stephanie Thomas, Aaron Russ, and Jeffrey Lau of Morrison Foerster.
October 31, 2023
Navigating the SEC’s New Private Fund Rules
A summary of new private fund adviser rules, by Adam Kanter, Tram Nguyen, et al. of Mayer Brown.
October 30, 2023
IAA Submits Additional Comments on SEC’s Safeguarding Proposal
The IAA submitted a comment letter urging the SEC to make additional changes to its proposed rule relating to the safeguarding of advisory client assets.
October 30, 2023
Kirkland & Ellis – Private Funds Rule: Implementation Considerations and Key Takeaways
Kirkland & Ellis presentation on the new private fund adviser rules.
October 30, 2023
October 2023 Sample Examination Letter – Los Angeles – Artificial Intelligence (AI)
This is a sample SEC examination letter from October 2023 from the Los Angeles office regarding the use of artificial intelligence (AI).
October 20, 2023
IAA Submits Supplemental Letter on Dealer Proposal
The IAA has submitted a supplemental comment letter urging the SEC to exclude SEC-registered investment advisers and their clients from the proposed definition of dealer.
October 17, 2023
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