SEC Publishes 2024 Examination Priorities
SEC’s 2024 examination priorities include fiduciary duty, disclosure of material facts relating to conflicts of interest, advertising practices, and more.
October 17, 2023
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The SEC adopted its groundbreaking rulemaking package for private fund advisers, which governs quarterly statements, restricted activities, preferential treatment, audits and more, as well as a new rule that requires all advisers – not just private fund advisers – to document their annual compliance program reviews.
August 28, 2023
Office of Investor Advocate Presents Policy Objectives
The SEC’s Office of the Investor Advocate has published its policy objectives for the 2024 fiscal year.
August 03, 2023
Private Fund Adviser Charged for Excessive Fees and Conflict Disclosure
SEC charges private fund adviser for miscalculating and not disclosing fees related to permanent impairment criteria.
July 27, 2023
Advisers Charged with Insufficient Valuation Policies
The SEC has charged two private fund advisers with insufficient valuation policies and procedures relating to investments of private funds they managed.
June 21, 2023
SEC Pivots to Finalizing Rules, Other Proposals Coming
Federal agencies issue Spring Reg Flex agendas, reflecting continuation of ambitious agendas.
June 15, 2023
Key Considerations in Forming Private Funds
This article discusses certain legal and regulatory considerations for investment advisers in sponsoring and advising private funds.
June 08, 2023
SEC Adopts Amendments to Form PF
The SEC adopted amendments to Form PF to require new current reporting for large hedge fund advisers, new quarterly event reporting for private equity fund advisers, and new data for large private equity fund advisers.
May 03, 2023