On the heels of other guidance issued by the US Securities Exchange Commission’s (SEC) Division of Corporation Finance (Division), the Division released a statement (Statement) on 10 April 2025 addressing its views about,...more
On 21 October 2024, the SEC’s Division of Examinations (Division) published its 2025 Examination Priorities (Priorities) to provide insight into what the Division plans to focus on in the 2025 fiscal year. In addition to...more
10/30/2024
/ Asset Management ,
Broker-Dealer ,
Compliance ,
Cryptocurrency ,
ETFs ,
Investment Adviser ,
Investment Companies ,
Private Funds ,
Registered Investment Advisors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
After much anticipation, the U.S. Securities and Exchange Commission (SEC) proposed significant, and potentially burdensome, disclosure and reporting requirements (the Proposed Amendments) for registered funds that use...more
6/22/2022
/ Asset Management ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
ETFs ,
Greenhouse Gas Emissions ,
Investment Funds ,
Investors ,
Proposed Amendments ,
Registered Funds ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)