At a contentious open meeting on February 6, 2024, the Securities and Exchange Commission (Commission) voted three to two to adopt rule amendments (Final Rules) under the Securities Exchange Act of 1934, as amended (Exchange...more
The Securities and Exchange Commission adopted new and amended rules under the Investment Advisers Act of 1940 (“Final Rules”) in August 2023 that will impose a broad set of new reporting, disclosure and other obligations on...more
10/13/2023
/ Audits ,
Books & Records ,
Documentation ,
Fees ,
Final Rules ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Offshore Companies ,
Private Funds ,
Quarterly Report ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
UCITS
Key Takeaways -
Following the SEC’s adoption, earlier this year, of changes to Form PF, large hedge fund advisers will face, for the first time, a requirement to report certain events to the SEC within 72 hours. ...more
9/21/2023
/ Clawbacks ,
Dodd-Frank ,
Filing Requirements ,
Final Rules ,
FSOC ,
Hedge Funds ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
New Amendments ,
Private Funds ,
Registered Investment Advisors ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)
Today, the Securities and Exchange Commission adopted new and amended rules under the Investment Advisers Act of 1940, as amended (Final Rules) that will significantly reform the scope of reporting, disclosure and other...more
8/24/2023
/ Audits ,
Compliance ,
Consumer Protection Act ,
Disclosure Requirements ,
Dodd-Frank ,
Final Rules ,
Investment Advisers Act of 1940 ,
Investment Portfolios ,
Private Funds ,
Recordkeeping Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)