Trump Picks New SEC Head, SEC Enforcement Starts Strong in 2025, and Latest Lessons from EXAMS: Details Matter and Duty of Care Fails - Welcome to our January 2025 Regulatory Roundup, where we provide practical advice on the...more
2/3/2025
/ Cryptocurrency ,
Disclosure Requirements ,
Enforcement Actions ,
Enforcement Priorities ,
Fiduciary Duty ,
Form PF ,
Investment Adviser ,
Presidential Appointments ,
Private Funds ,
Regulation D ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Trump Administration
Welcome to our December 20243 Regulatory Roundup, where we provide practical advice on the latest regulatory headlines. We start this issue with the SEC’s 2024 enforcement results, which fell somewhat short after its 2023...more
12/31/2024
/ Asset Management ,
Beneficial Owner ,
Compliance ,
Corporate Governance ,
Corporate Transparency Act ,
Disclosure Requirements ,
Enforcement Actions ,
Investment Adviser ,
Investment Firms ,
Publicly-Traded Companies ,
Reporting Requirements ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
September 30 is the SEC’s fiscal year-end, so it's no surprise to see an uptick in enforcement cases this month. The latest slew of settlements involved violations of the Marketing Rule (Advisers Act Rule 204(4)-1) for...more
Many private fund managers are breathing a sigh of relief after the Fifth Circuit struck down the Private Fund Rules (check out our blog post for more information). Do not, however, assume the SEC will stop its aggressive...more
8/22/2024
/ Asset Management ,
Compliance ,
Conflicts of Interest ,
Disclosure Requirements ,
Financial Services Industry ,
Fund Managers ,
Hedge Funds ,
Investment Adviser ,
Investment Firms ,
Investment Management ,
Investors ,
Limited Partnerships ,
Private Equity ,
Private Funds ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm's compliance policies...more
4/29/2024
/ Annual Reports ,
Asset Management ,
Beneficial Owner ,
Compliance ,
Corporate Transparency Act ,
Deadlines ,
Disclosure Requirements ,
Fund Managers ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Firms ,
New Rules ,
Private Equity Funds ,
Private Funds ,
Regulatory Standards ,
Reporting Requirements ,
Risk Alert ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation