On May 20, 2015, the Securities and Exchange Commission (the “SEC”) approved new proposed rules, forms and amendments that would expand the information that registered investment companies1 are required to report. The SEC’s...more
7/31/2015
/ Compliance ,
Derivatives ,
Financial Statements ,
Form N-CEN ,
Form N-PORT ,
Form N-SAR ,
Investment Companies ,
Investment Funds ,
Investment Portfolios ,
Regulation S-X ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Shareholder Distributions ,
Shareholders
On May 20, 2015, the Securities and Exchange Commission (the “SEC”) proposed new rules, forms and amendments that would expand the information that registered investment advisers are required to report. The changes are...more
7/20/2015
/ Amended Regulation ,
Books & Records ,
Derivatives ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Private Funds ,
RAUM ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Umbrella Registration
In November and December 2014, the Commodity Futures Trading Commission (the “CFTC”) and Securities and Exchange Commission (“SEC”), respectively, issued guidance regarding the applicability of certain regulations to family...more
Recent efforts by the Securities and Exchange Commission (SEC) to bring concentrated regulatory attention to investment managers sharpened over the past year to include a particular focus on the private equity and hedge fund...more