IM Division Director Discusses E-Delivery, Increasing Public Access to Private Markets
Dalia Blass, Director of the SEC’s Division of Investment Management, recently gave a speech in which she focused on key past and future developments, and changes within the Division.
August 11, 2020
Adviser Fined $1 Million for Misleading Private Fund Marketing Materials, Performance Information
A Massachusetts-based investment adviser is paying $1 million to settle SEC charges of providing misleading marketing materials related to a private fund and failing to follow its compliance policies and procedures.
April 27, 2020
Lee said that while she broadly supports the agency’s proposed modernization of the Advertising Rule, she is concerned that some elements of the proposal may be too vague and could lead to uncertainty among compliance professionals.
March 09, 2020
Private Fund Advisers and the Proposed Changes to the Advertising Rule
The proposed amendments, if adopted, would make significant changes to the Advertising Rule affecting private fund managers, including managers of hedge funds and private equity funds.
January 01, 2020
Federal agencies recently released the Fall update to their regulatory agendas.
November 27, 2019
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