News & Analysis as of September 26, 2024

Cybersecurity › Securities and Exchange Commission (SEC) › Hedge Funds

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Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now. less -

CrowdStrike Outage and its Form PF Implications

Seward & Kissel LLP on 7/22/2024

In May 2023, the Securities and Exchange Commission (the “SEC”) adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, requiring, among other things,...more

Top Ten Regulatory and Litigation Risks for Private Funds in 2024

Proskauer - The Capital Commitment on 3/19/2024

To understand the litigation and regulatory risks that are coming in 2024 for private capital, it is helpful to look back briefly on recent events. Arguably, the single most important event over the last 18 months was the...more

Upcoming Regulatory Initiatives Impacting Private Fund Managers - September 2022

Dechert LLP on 9/22/2022

This latest edition of the regulatory initiatives paper sets out at a high level the core regulatory issues that are likely to impact private fund managers in the coming months, including an overview of the key actions needed...more

[Webcast Transcript] From Strategy to Tactics: Data Remediation at Private Equity and Hedge Funds

HaystackID on 4/29/2022

On April 20, HaystackID shared an educational webcast developed to discuss best practices for handling big data and provide tangible field-experienced methods for data remediation. These best practices can be implemented at...more

[Webcast] From Strategy to Tactics: Data Remediation at Private Equity and Hedge Funds

HaystackID on 4/14/2022

HaystackID Educational Webcast The SEC recently proposed significant changes for PE reporting requirements. Whether these amendments are adopted or not, one thing is for sure; all alternative investment organizations are on...more

SEC Proposed Rule Will Require Private Funds to Report Certain Cyber Events

Alston & Bird on 2/1/2022

On January 26, 2022, the U.S. Securities and Exchange Commission (SEC) proposed new rules to enhance hedge fund and private fund disclosure requirements and increase regulators’ visibility into the private funds industry....more

Investment Management Update

Ballard Spahr LLP on 12/12/2018

Here in is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry....more

Your Daily Dose of Financial News

Robins Kaplan LLP on 10/9/2018

Google has announced plans to shutter Google Plus, its “floundering answer to Facebook,” following the discovery of a security vulnerability that “exposed the private data of up to 500,000 users of the service.” Google...more

Investment Management Special Report - 2017-18 Compliance Developments & Calendar for Private Fund Advisers

Akin Gump Strauss Hauer & Feld LLP on 10/12/2017

Introduction - Despite an anticipated de-regulatory push, there are significant new regulatory concerns for investment advisers to address in connection with their annual review of their compliance manuals. ...more

Cybersecurity 2017: Top Exam Priorities for Federal Securities Regulators

Patterson Belknap Webb & Tyler LLP on 1/13/2017

Hedge funds and broker dealers can expect their cybersecurity preparedness to come under scrutiny again this year by federal securities regulators....more

2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds

Proskauer Rose LLP on 11/16/2016

This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more

Regulatory Update and Recent SEC Enforcement Actions

Blank Rome LLP on 7/5/2016

Securities and Exchange Commission (“SEC”) Hosts National Compliance Outreach Seminar for Investment Companies and Investment Advisers In April 2016, the Office of Compliance Inspections and Examinations (“OCIE”), the...more

Fund Manager Annual Update

Mintz on 3/1/2016

The SEC brought a record number of enforcement actions against investment advisers in 2015, resulting in approximately $4.2 billion in sanctions.1 This alert highlights current issues for private equity, venture capital and...more

2015 Proskauer Annual Review and Outlook for Hedge, Private Equity and Other Private Funds

Proskauer Rose LLP on 11/25/2015

Proskauer has released the 2015 Proskauer Annual Review and Outlook for Hedge, Private Equity and Other Private Funds. The 88-page report is a summary of significant legal changes and developments in the private funds space...more

2015 Mid-Year Securities Litigation and Enforcement Highlights

BakerHostetler on 8/5/2015

Welcome to the 2015 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters we...more

Recent Investment Management Developments - June 2015

Ballard Spahr LLP on 6/19/2015

In This Issue: - SEC Proposes Changes to Reporting and Disclosure Obligations for Investment Companies and Advisers - SEC Charges Hedge Fund Executives and External Auditor for Improper Disclosure of Expense...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 3/2/2015

Non-Enforcement - 2015 Legislative Agenda Includes Dodd-Frank Revisit and Cybersecurity. Enforcement - SEC Enforcement Action Underscores Importance of Custody Rule Compliance - Joint SEC/State...more

A Compilation of Enforcement and Non-Enforcement Actions - January 31, 2013

Foley & Lardner LLP on 1/31/2013

In This Issue: Non-Enforcement Matters - FINRA Announces Regulatory and Examination Priorities for 2013 - SEC Previous Hedge Fund Enforcement Trends for 2013 Enforcement Matters - Another...more

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