Dorsey’s 2025 Private Funds Compliance Calendar addresses certain key regulatory obligations that apply to private funds and private fund advisers....more
All SEC-registered investment advisers (“advisers”) are required to annually renew their state notice filings and state representative and branch registrations through the IARD Renewal Program....more
On May 16, 2024, the SEC adopted amendments (the “Amendments”) to Regulation S-P to require SEC-registered investment advisers and broker-dealers (collectively, “Covered Institutions”) to develop, implement, and maintain...more
6/11/2024
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Broker-Dealer ,
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Customer Privacy ,
Incident Response Plans ,
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Registered Investment Advisors ,
Regulation S-P ,
Securities and Exchange Commission (SEC) ,
Sensitive Personal Information
This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers....more
6/4/2024
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FinCEN ,
Insider Trading ,
Instant Messaging Apps ,
Investment Adviser ,
Marketing ,
Material Nonpublic Information ,
Registered Investment Advisors ,
Regulation S-P ,
Risk Alert ,
Say-on-Pay ,
Securities and Exchange Commission (SEC) ,
Text Messages
The SEC’s Division of Examinations (the “Division”) announced its examination priorities for fiscal year 2024. This eUpdate includes observations on the examination priorities and a list of examination priorities that impact...more
11/16/2023
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Cryptoassets ,
Disclosure Requirements ,
Emerging Technologies ,
Enforcement Priorities ,
Environmental Social & Governance (ESG) ,
Form ADV ,
Investment Adviser ,
Private Funds ,
Private Investment Funds ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC)
This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers. Please contact us with any questions on the topics covered below.
The SEC Adopts Significant New Rules for Private...more
10/16/2023
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Analytics ,
Beneficial Owner ,
Compliance ,
Compliance Dates ,
Custody Rule ,
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Filing Deadlines ,
Form PF ,
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Investment Advisers Act of 1940 ,
New Rules ,
Private Funds ,
Proposed Rules ,
Registered Investment Advisors ,
Reporting Requirements ,
Risk Alert ,
Schedule 13D ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
On March 27, 2023, the SEC’s Division of Examinations (the “Division”) issued a Risk Alert on its observations from examinations of newly-registered advisers. The Division focused on whether newly-registered advisers...more
The SEC’s Division of Examinations (the “Division”) announced its examination priorities (“Examination Priorities”) for fiscal year 2023. This eUpdate summarizes key points from the Examination Priorities that impact...more
Dorsey has recently published a 2023 Private Funds Compliance Calendar. The calendar includes obligations and deadlines that could potentially apply to an SEC-registered investment adviser, or CFTC-registered commodity pool...more