The IAA and other trade associations call for an extension of the comment period for the joint SEC-CFTC Form PF proposal to allow for meaningful stakeholder input.
September 20, 2022
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SEC and CFTC jointly proposed substantial changes to Form PF for all private fund advisers and large hedge fund advisers.
August 22, 2022
IAA Urges SEC To Reconsider One-Day Reporting for Private Fund Advisers
The IAA calls on the SEC to substantially amend its proposal to require current reporting of events on Form PF and refrain from defining “digital assets.”
March 29, 2022
SEC Staff Identify Private Fund Adviser Deficiencies
The SEC’s Division of Examinations has issued a Risk Alert with additional key observations of deficiencies in exams of private fund advisers.
February 01, 2022
SEC Calls for Additional Private Fund Reporting and Information
The SEC proposed substantial changes to Form PF that would require private fund managers to report certain events within one day and private equity fund managers to provide additional information.
January 27, 2022
Adviser, Principal Fined for Misrepresentations and Compliance Issues
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January 04, 2022
SEC Charges Hedge Fund Sub-Adviser for Causing Brokers to Violate Regulation SHO
The SEC has fined a Toronto-based investment adviser, the adviser’s principal, and its trader for causing brokers to violate Regulation SHO, which governs short selling, and for causing a hedge...
September 01, 2021
FSOC Meeting Focuses on Hedge Funds, Mutual Funds, Impact of Climate Change on Financial Stability
FSOC Meeting Focuses on Hedge Funds, Mutual Funds, Impact of Climate Change on Financial Stability April 9, 2021 The Financial Stability Oversight Council’s (FSOC’s) first meeting of the year...
April 09, 2021