The SEC has charged two private fund advisers with insufficient valuation policies and procedures relating to investments of private funds they managed.
The 2022 Investment Management Compliance Testing Survey identified advertising/marketing, cybersecurity, and climate change/ESG as the top concerns for compliance officers.
SEC’s “Dear CFO” Letter Discusses Combined Financial Statements Under Custody Rule, Includes Updates to Reflect Fund Valuation, Derivatives Rules April 5, 2021 The Chief Accountant of the SEC’s Division...
SEC Investment Management Seeks Input on Cross Trading Rule Amendments Updated March 24, 2021 The SEC’s Division of Investment Management staff is considering amending Investment Company Act Cross Trading...
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