News & Analysis as of May 18, 2025

Cybersecurity › Securities and Exchange Commission (SEC) › Private 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 -

Latham Texas Private Funds Breakfast Series Navigating 2025 Exam Priorities Private Fund Advisers

Latham & Watkins LLP on 2/27/2025

This winter, Latham’s Investment Funds Practice provided guidance on the Securities and Exchange Commission’s (SEC) 2025 examination priorities for private fund advisers in the latest installment of the Private Funds...more

SEC 2025 Exam Priorities and Considerations for the New Administration

Tannenbaum Helpern Syracuse & Hirschtritt LLP on 2/4/2025

On October 21, 2024, the Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) published its examination priorities for 2025. The published priorities inform SEC registrants, investors,...more

Lessons From 2024: Tips for Private Fund Managers

SEC Compliance Consultants, Inc. (SEC³) on 1/27/2025

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

SEC Priorities for 2025: What Investment Advisers Should Know

ArentFox Schiff on 1/14/2025

The US Securities and Exchange Commission (SEC) recently released its priorities for 2025. As in recent years, the SEC is focusing on fiduciary duties and the development of compliance programs as well as emerging risk areas...more

Ropes & Gray’s Investment Management Update October – November 2024

Ropes & Gray LLP on 12/12/2024

The following summarizes recent legal developments of note affecting the mutual fund/investment management industry. On October 21, 2024, the SEC Division of Examinations (“EXAMS”) published its annual Examination Priorities...more

Summarizing the SEC’s 2025 Examination Priorities Report, Part 2

Cozen O'Connor on 11/22/2024

In the second part of this legal update series, we summarize the key takeaways from the Division of Examinations’ (Division) 2025 priorities report released on October 21, 2024. The Division remains focused on mainstays like...more

Key Takeaways from the SEC's 2025 Exam Priorities

Stinson LLP on 11/20/2024

On October 21, 2024, the Division of Examinations (Division) of the Securities and Exchange Commission (SEC) published its 2025 examination priorities (2025 priorities). The release of the 2025 priorities is intended to...more

SEC’s 2025 Examination Priorities: Continued Focus on Private Funds and Cybersecurity

Alston & Bird on 11/5/2024

Our Investment Funds and White Collar, Government & Internal Investigations Groups discuss what investment fund advisers and broker-dealers should know about the Securities and Exchange Commission’s Division of Examinations’...more

2025 SEC Exam Priorities for Investment Advisers and Registered Investment Companies

Goodwin on 11/5/2024

On October 21, the Securities and Exchange Commission’s (SEC’s) Division of Examinations (Division) released its examination priorities for 2025, outlining the key topics the Division plans to focus on in the upcoming fiscal...more

SEC Division of Examinations 2025 Exam Priorities – a Focus on Artificial Intelligence, Private Funds, and Cybersecurity

Morrison & Foerster LLP on 11/4/2024

On October 21, 2024, the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (“EXAMS”) announced its 2025 Examination Priorities (the “2025 Priorities”), highlighting areas that it expects to target...more

SEC Division of Examinations Announces 2025 Priorities

Patterson Belknap Webb & Tyler LLP on 10/30/2024

On October 21, 2024, the Securities and Exchange Commission (“SEC”)’s Division of Examinations (the “Division”) released its 2025 examination priorities....more

SEC Division of Examinations Publishes 2025 Priorities

Katten Muchin Rosenman LLP on 10/30/2024

On October 21, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published its examination priorities for its fiscal year 2025 (Oct. 1, 2024–Sept. 30, 2025). First published in 2013, the SEC's...more

Regulatory Roundup for May 2024

SEC Compliance Consultants, Inc. (SEC³) on 5/30/2024

SEC DROPS NEW REQUIREMENT FOR INCIDENT RESPONSE PROGRAMS, PROPOSAL FOR RIAS TO ADOPT CIP, SEC EXAMS SHARES MARKETING RULE FAILURES, RIA SLAMMED FOR FAILING TO RETAIN TEXTS, AND SEC WINS ON SHADOW TRADING THEORY - Welcome to...more

Expect Focus - Volume II, May 2024

Carlton Fields on 5/29/2024

Last Lap in SEC RILA Rulemaking Critical Unresolved Issues - Congress directed the SEC to adopt a new registration statement for registered indexed annuities (RILAs) by the end of June. Several months ago, the SEC...more

New Privacy and Cybersecurity Obligations for Private Fund Sponsors and Managers

Akin Gump Strauss Hauer & Feld LLP on 5/21/2024

Last week, the Securities and Exchange Commission imposed expanded privacy and cybersecurity obligations on fund managers and sponsors registered with the SEC as investment advisers. While many registered investment advisers...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

Investment Adviser Expectations in 2024

Davis Wright Tremaine LLP on 1/19/2024

Like many other industries, Registered Investment Advisers ("RIAs") have dealt with significant regulatory, technological, and systemic change in recent years. Compared to FINRA-regulated entities, RIAs often face these...more

SEC Rulemaking 2023 - An Overview

Harris Beach Murtha PLLC on 12/20/2023

In 2023, the Securities and Exchange Commission (SEC) continued its trend of recent years of robust and significant rulemaking that affects the range of players in the securities industry — public companies, broker-dealers,...more

SEC Releases Examination Priorities for 2024

Tannenbaum Helpern Syracuse & Hirschtritt LLP on 12/19/2023

On October 16, 2023, the Securities and Exchange Commission’s (the “SEC”) Division of Examinations (the “Division”) published its examination priorities for the upcoming year. The Division published the priorities earlier...more

Investment Management Update - November 2023

Skadden, Arps, Slate, Meagher & Flom LLP on 11/16/2023

...SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investment Company Act of 1940 (the Fund Names Rule) as well...more

SEC’s 2024 Examination Priorities for Investment Advisers

Lowenstein Sandler LLP on 11/14/2023

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

SEC Outlines 2024 Examination Priorities

Latham & Watkins LLP on 11/3/2023

The priorities highlight emerging and core risk areas for investment advisers, broker-dealers, and other entities, including cybersecurity and crypto assets. On October 16, 2023, the Securities and Exchange Commission’s...more

SEC Division of Examinations Announces 2024 Priorities

Patterson Belknap Webb & Tyler LLP on 10/30/2023

On Monday, October 16, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) “released its 2024 examination priorities to inform investors and registrants of the key risks, examination topics,...more

SEC EXAMS Division Announces 2024 Priorities Ahead of Schedule

Goodwin on 10/26/2023

On October 16, 2023, the SEC’s Division of Examinations (EXAMS) published its exam priorities for 2024. The timing is notable, with the release coming several months ahead of the typical timeline and only eight months after...more

Vinson & Elkins' Quarterly Securities & ESG Updates - Fall 2023

Vinson & Elkins LLP on 10/13/2023

Welcome to Vinson & Elkins’ Securities and ESG Updates. Our aim is to provide insights into notable developments in securities reporting and the environmental, social and governance space over the quarter and, where...more

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