On August 23, 2023, in its efforts to promote transparency for investors by increasing visibility into compensation schemes, sales practices, and conflicts of interest, the US Securities and Exchange Commission (SEC) adopted...more
9/12/2023
/ Administrative Procedure Act ,
Attorney's Fees ,
Audits ,
Clawbacks ,
Compensation ,
Compliance ,
Conflicts of Interest ,
Deadlines ,
Disclosure Requirements ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Portfolios ,
Investors ,
New Amendments ,
New Rules ,
Private Funds ,
Recordkeeping Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Transparency
On August 10, 2022, the US Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) issued a joint proposal to amend Form PF, a reporting form for SEC-registered reporting private fund...more
As use of cryptocurrency investment has increased throughout the world, regulators have faced a bevy of novel questions, especially related to applying different strains of law to regulate novel digital assets. To date,...more
8/9/2022
/ CFTC ,
Coinbase ,
Corporate Counsel ,
Cryptoassets ,
Cryptocurrency ,
Digital Assets ,
Insider Trading ,
Investment ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Non-Fungible Tokens (NFTs) ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
On May 25, the US Securities and Exchange Commission (SEC) proposed amendments to enhance and modernize Section 35(d) of the Investment Company Act, known as the “Names Rule,” to provide protection to investors.[1] In a press...more