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SEC Guidance for Private Fund Advisers

On June 23, 2020, the US Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a risk alert (Risk Alert) describing common deficiencies and compliance issues for...more

CFTC Enforcement and Regulatory Developments

On June 4, 2020, the Commodity Futures Trading Commission (CFTC) unanimously approved the adoption of a final rule (Final Rule) prohibiting a commodity pool operator (CPO) that has, or whose principals have, in its background...more

COVID-19: Investment Management Relief

The COVID-19 pandemic has caused disruption throughout the investment management industry. The U.S. Securities and Exchange Commission (SEC), along with other regulatory agencies, has issued relief and provided guidance in...more

SEC Commissioner Hester M. Peirce Proposes a Path for Regulatory Certainty in Token Sales

In a speech on February 6, 2020, US Securities and Exchange Commission (SEC) Commissioner Hester M. Peirce outlined a proposed safe harbor to address certain regulatory difficulties faced by individuals desiring to build...more

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