Dorsey’s 2025 Private Funds Compliance Calendar addresses certain key regulatory obligations that apply to private funds and private fund advisers....more
Dorsey’s 2024 Private Funds Compliance Calendar addresses certain key regulatory obligations that may apply to private funds and private fund advisers.
The 2024 Private Funds Regulatory Compliance Calendar (“Calendar”)...more
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
/ Compliance ,
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
/ Amended Rules ,
Analytics ,
Beneficial Owner ,
Compliance ,
Compliance Dates ,
Custody Rule ,
Enforcement Actions ,
Filing Deadlines ,
Form PF ,
Investment Adviser ,
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 May 3, 2023, the Securities and Exchange Commission (the “SEC”) adopted amendments (“Amendments”) to Form PF that will require: (i) current reporting by “large hedge fund advisers” of certain events that may indicate...more
In 2022, the U.S. Securities and Exchange Commission (the “SEC”) proposed numerous new and amended rules (“proposals”) that would apply to SEC-registered investment advisers (“Registered Advisers”), including private fund...more
The staff (“Staff”) of the SEC’s Division of Investment Management recently issued an FAQ (the “FAQ”) to clarify that, under Rule 206(4)-1 (the “Marketing Rule”) of the Investment Advisers Act of 1940, an SEC-registered...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