The U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) recently released its annual Examination Priorities for fiscal year 2024 (the Report). The Report underlines the Division’s focus on...more
11/14/2023
/ Broker-Dealer ,
Cybersecurity ,
Disclosure ,
Fiduciary Duty ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Marketing ,
Policies and Procedures ,
Portfolio Managers ,
Private Funds ,
Registered Investment Advisors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
In the latest installment of Lowenstein Sandler's Cybersecurity Awareness Series, Ken Fishkin speaks with Kathleen A. McGee, partner in Lowenstein’s The Tech Group and White Collar Criminal Defense practice group; Kate...more
Lowenstein Sandler’s Investment Management Group is pleased to provide you with the summaries and checklists described below.
Summaries of recent legal developments with respect to:
•SEC’s 2023 Examination Priorities-...more
4/7/2023
/ CFTC ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
Custody Rule ,
Cybersecurity ,
Electronic Communications ,
Employee Retirement Income Security Act (ERISA) ,
Fund Managers ,
Investment Adviser ,
Office of Foreign Assets Control (OFAC) ,
Popular ,
Proxy Voting ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Virtual Currency
On March 15, 2023, the Securities and Exchange Commission (“SEC”) issued three releases proposing (i) amendments to Regulation S-P (“Regulation S-P Proposal”)1, (ii) amendments to Regulation SCI (“Regulation SCI Proposal”)2,...more
3/30/2023
/ Broker-Dealer ,
Cybersecurity ,
Electronically Stored Information ,
Incident Response Plans ,
Investment Adviser ,
Investment Companies ,
Policies and Procedures ,
Proposed Amendments ,
Regulation S-P ,
Risk Assessment ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
On February 7, 2023, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) released its annual Priorities Report1 for upcoming examinations of registered investment advisers...more
2/17/2023
/ Anti-Money Laundering ,
Broker-Dealer ,
Conflicts of Interest ,
Cryptoassets ,
Customer Protection Rule ,
Cyber Crimes ,
Cybersecurity ,
Emerging Technologies ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Investment Adviser ,
Marketing ,
Popular ,
Portfolio Managers ,
Private Funds ,
Registered Investment Advisors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
Summaries of recent legislative and regulatory developments with respect to:
•SEC’s 2022 Examination Priorities • Proposed Amendments to Form PF Requirements-
•Proposed New Rules Applicable to Private Fund Advisers and...more
5/5/2022
/ Anti-Money Laundering ,
Beneficial Owner ,
Broker-Dealer ,
CFTC ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Cryptocurrency ,
Cybersecurity ,
Department of Labor (DOL) ,
Digital Assets ,
Employee Retirement Income Security Act (ERISA) ,
Environmental Social & Governance (ESG) ,
Fiduciary Rule ,
Foreign Investment ,
General Data Protection Regulation (GDPR) ,
Investment Adviser ,
Investment Funds ,
NFA ,
Proxy Voting ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Threshold Requirements
What You Need To Know:
•The SEC has proposed new rules applicable to private fund managers, some of which apply broadly to private fund managers that are not registered with the agency.
•The SEC has proposed to...more
2/23/2022
/ Audits ,
Cybersecurity ,
Fund Managers ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Private Funds ,
Proposed Rules ,
Quarterly Report ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC)