SEC Charges Five Private Fund Advisers with Custody Rule and Form ADV Violations
The SEC charged five private fund advisers with custody and Form ADV deficiencies.
September 07, 2023
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SEC Charges Nine Private Fund Advisers with Custody, Form ADV Rule Violations
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September 19, 2022
SEC Seeks Public Comments on Whether “Information Providers” Are Acting as “Investment Advisers”
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June 27, 2022
SEC Proposes Cybersecurity, Private Fund Adviser Rules
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February 09, 2022
SEC Re-Proposes Certain 13F Amendments, Other Electronic Filing Requirements
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November 24, 2021
Georgia-Based Adviser Charged in Connection with Disclosure and Compliance Violations Related to Adviser’s Financial Situation October 5, 2020 The SEC has filed a complaint in federal district court in...
October 05, 2020
SEC Provides Relief Related to Mailing Adviser and Fund Documents to Clients in International Jurisdictions June 25, 2020 The SEC’s Divisions of Investment Management and Trading and Markets have...
June 25, 2020
SEC’s IAC Discusses Index Funds, ESG, Disclosures and Credit Rating Agencies
SEC’s IAC Discusses Index Funds, ESG, Disclosures and Credit Rating Agencies June 3, 2020 Discussions on index funds and credit rating agencies – and recommendations on ESG disclosure and...
June 03, 2020