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
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
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
On March 13, 2020, the Securities and Exchange Commission (SEC) issued an order (the Advisers Act Release) under the Investment Advisers Act of 1940 (Advisers Act) providing regulatory relief for investment advisers whose...more
3/18/2020
/ Business Development Companies ,
Coronavirus/COVID-19 ,
Corporate Governance ,
Filing Deadlines ,
Filing Requirements ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Registered Investment Advisors ,
Registered Investment Companies (RICs) ,
Relief Measures ,
Securities and Exchange Commission (SEC)
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