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SEC Scrutiny Of Private Fund Advisers Continues With Adoption Of New And Amended Rules Promoting Transparency And Investor Protection - Securities

September 1, 2023
In August 2023, the Securities and Exchange Committee (SEC) adopted new and amended rules governing private fund advisers. Under the Investment Advisers Act of 1940...
Fund Advisers Fund Audits Requirements Applicable Only To Registered Private Fund Fund Compliance Programs Exchange Committee Exemptions For Legacy Private Fund Agreements
Source: mondaq.com

Investment Company Compliance Issue SEC Risk Alert

November 20, 2021
The SEC’s Division of Examinations issued a risk alert focused on industry practices and regulatory compliance for mutual funds and ETFs that may have an impact on retail investors due to identified deficiencies or weaknesses in fund compliance programs.
Division Of Examinations Fund Disclosures Fund Compliance Programs Investment Company Staff Recommendations For Compliance Program Investment Company Act
Source: natlawreview.com

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