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H1 Fundraising Review

Overall, the first half of 2024 was challenging for fundraising across the private fund market to varying degrees among private debt, private equity (PE) and venture capital (VC). The first half of 2024 saw a variety of...more

Corporate Governance: 2024 Midyear Review

In this midyear update, we cover a number of significant corporate governance developments that have taken place over the first half of the year and since our Corporate Governance 2023 Year-End Review....more

SEC Adopts Significant Cybersecurity Amendments to Regulation S-P

On May 16, 2024, the Securities and Exchange Commission (SEC) adopted final amendments to Regulation S-P, one year after issuing the proposed amendments (discussed here). Regulation S-P is a set of privacy rules that govern...more

SEC and FinCEN Propose Rule Requiring Investment Advisers to Enact Customer Identification Programs

On May 13, 2024, the Securities and Exchange Commission (SEC) and the Financial Crimes Enforcement Network (FinCEN) of the U.S. Treasury Department announced a joint notice of proposed rulemaking that would require investment...more

SEC Issues Risk Alert Regarding Compliance with Rule 206(4)-1, the Marketing Rule

On April 17, 2024, the Securities and Exchange Commission’s (SEC) Division of Examination (Division) issued a Risk Alert to provide information about investment advisers’ compliance with amended Rule 206(4)-1 (Marketing Rule)...more

Responsible Investing and the WEF

Responsible investing (RI) has become a hot topic in private funds over the past few years. The U.S. Sustainable Investment Forum reported that in 2020, $1 of every $3 professionally managed in the United States was invested...more

Private Fund Sponsor M&A Could Take Off in 2024

Acquisitions of private fund sponsors can be accretive for large asset managers, providing access to attractive investment strategies with equally attractive margins, which can be deployed in new ways on larger platforms. For...more

SEC Continues to Ramp Up Enforcement on Crypto

The Securities and Exchange Commission (SEC) kept up with their plan to increase enforcement on the sale of crypto assets in filing a complaint against Dragonchain for engaging in an unlawful offer and sale of securities in...more

SEC Adopts New Marketing Rule

The Securities and Exchange Commission (SEC) announced on Dec. 22, 2020, that it has finalized amendments to the current advertising rule (Rule 206(4)-1) and cash solicitation rule (Rule 206(4)-3) under the Investment...more

SEC Proposes Amendments to Update Form 13F

The Securities and Exchange Commission (SEC) has recently proposed to amend the reporting threshold and make certain other changes to Form 13F. It should be noted that this is the first time the reporting threshold would be...more

OCIE Issues Risk Alert on Form CRS Compliance

With the compliance date of June 30, 2020 approaching for Form CRS and its related rules, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) recently issued a risk...more

Poor Compliance With Cash Solicitation Rule Prompts OCIE Risk Alert

Faced with various compliance issues related to the ‘cash solicitation rule’, the Staff issued a risk alert to inform market participants and help advisers update their policies accordingly....more

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