SEC Provides Targeted Relief from Forms ADV and PF Deadlines, In-Person Fund Board Meetings, Fund Filing Deadlines March 14, 2020 The SEC has issued two orders providing targeted relief...
March 14, 2020
Tags: Coronavirus, COVID-19
SEC Proposes Amendments to Private Offering Rules To Increase Investor Opportunities, Expand Access to Capital March 23, 2020 The SEC has voted to propose amendments to simplify, harmonize, and...
March 23, 2020
Tags: Reg D, Private Offerings
IAA Recommends Additional Changes to Volcker Rule To Address Concerns of Bank-Affiliated Asset Managers April 2, 2020 The IAA has weighed in on proposed amendments to the final rule...
April 02, 2020
SEC Creates COVID-19 Market Monitoring Group
SEC Creates COVID-19 Market Monitoring Group April 27, 2020 The SEC has formed an internal, cross-divisional COVID-19 Market Monitoring Group to assist agency officials with actions and analyses related...
April 27, 2020
Tags: Coronavirus, SEC
DOL Issues COVID-19 Relief from ERISA Deadlines For Plans and Participants
DOL Issues COVID-19 Relief from ERISA Deadlines for Plans and Participants May 6, 2020 The Department of Labor (DOL) has provided relief from certain deadlines under ERISA “to help...
May 06, 2020
Tags: Coronavirus, COVID-19, DOL, ERISA, Retirement Plans, SBA
SEC Proposes Rule for Good Faith Fair Value Determination, Readily Available Market Quotations
SEC Proposes Rule for Good Faith Fair Value Determination, Readily Available Market Quotations Board May Assign Determinations to Fund Adviser May 6, 2020 The SEC voted on April 21...
May 06, 2020
Tags: Fair Value, Investment Company Act, Mutual Funds, Valuation
SBA Extends Safe Harbor to Return PPP Loans to May 18, 2020
SBA Extends Safe Harbor to Return PPP Loans to May 18, 2020 Additional Guidance on Loans under $2 million, More Flexibility on Loan Amounts May 14, 2020 The Small...
May 14, 2020
Tags: Coronavirus, COVID-19, PPP, Small Business Administration
CFTC Proposes Amendments to Treatment of Offshore Commodity Pools, Delays Initial Margin Requirements for Uncleared Swaps Actions Follow Concerted IAA Advocacy Campaign May 29, 2020 In a move long...
May 29, 2020
Tags: CFTC, CPO, Legal & Regulatory, Non-U.S. Pools, Swaps
IAA Urges SEC to Expand, Simplify Access to Exempt Offerings
IAA Urges SEC to Expand, Simplify Access to Exempt Offerings June 3, 2020 The IAA is calling on the SEC to expand access to the private markets and make...
June 03, 2020
Tags: Accredited Investor, Exempt Offerings, Private Offerings, QIB
OCIE Issues Risk Alert on Private Fund Adviser Exam Deficiencies
OCIE Issues Risk Alert on Private Fund Adviser Exam Deficiencies June 24, 2020 OCIE has issued a Risk Alert describing common deficiencies in exams of advisers to private equity and...
June 24, 2020
Tags: OCIE, Private Funds, Risk Alert