On April 7, 2024, the United States District Court for the District of Connecticut approved the Securities and Exchange Commission’s request to dismiss its action against a hedge fund manager for the manager’s alleged failure...more
On August 23, 2023, by a vote of 3-2, the Securities and Exchange Commission (the “SEC”) adopted new final rules and amendments to existing rules under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) with...more
8/28/2023
/ Audits ,
Clawbacks ,
Compensation ,
Compliance ,
Custody ,
Final Rules ,
GAAP ,
Indemnification ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Private Funds ,
Securities and Exchange Commission (SEC) ,
Waivers ,
Written Consent
Expiration of SEC Staff’s No Action Letters Providing Relief to Broker-Dealers Regarding MiFID II Research Requirements -
On July 3, 2023, the U.S. Securities and Exchange Commission (the “SEC”) let expire a long-standing...more