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Asset Management › Policies and Procedures › Private Funds

SEC Compliance Consultants, Inc. (SEC³)

Lessons From 2024: Tips for Private Fund Managers

SEC Compliance Consultants, Inc. (SEC³) on

As we look back on the SEC’s actions in 2024, we wanted to share our thoughts on lessons learned that we believe will carry through to 2025....more

King & Spalding

What Does a Second Trump Administration Mean for the Private Funds Industry?

King & Spalding on

The incoming Trump administration will bring significant changes to regulatory policy as it relates to the asset management industry, and private funds, in particular...more

Seward & Kissel LLP

SEC Division of Examinations Releases its 2024 Examination Priorities

Seward & Kissel LLP on

Who may be interested: Registered Investment Companies; Directors of Registered Investment Companies; and Investment Advisers Quick Take: The staff of the SEC Division of Examinations (Staff) recently released its 2024...more

Akin Gump Strauss Hauer & Feld LLP

SFC Highlights Deficiencies in Asset Management Industry

Akin Gump Strauss Hauer & Feld LLP on

• The SFC has identified nine common areas of non-compliance in managing funds and discretionary accounts. • The SFC urged licensed corporations to review their existing internal control procedures and operational...more

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