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SEC Sends Second Message to Private-Fund Sponsors on Audit Obligations Under Custody Rule Through Enforcement Actions | Goodwin

On September 5, 2023, almost one year since its first flurry of similar Custody Rule actions, the SEC announced settlements with five SEC-registered investment advisers to private.

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SEC Sends Second Message To Private-Fund Sponsors On Audit Obligations Under Custody Rule Through Enforcement Actions - Securities

On September 5, 2023, almost one year since its first flurry of similar Custody Rule actions, the SEC announced settlements with five SEC-registered investment advisers to private funds with respect to alleged violations of Rule 206(4)-2 under the Investment Advisers Act of 1940 (the Custody Rule) and related Form ADV violations.

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SEC Examinations and Enforcement Update for Registered Investment Advisers: Transparency for SEC Exams, Marketing Rule Sweep, and More Custody Scrutiny | Morrison & Foerster LLP

A series of recent actions by the Securities and Exchange Commission (SEC) and its staff should prompt registered investment advisers (RIAs) to reassess their risk tolerance for some.

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How the SEC s Proposed New Safeguarding Rule May Impact Private Fund Advisers | Tannenbaum Helpern Syracuse & Hirschtritt LLP

On February 15, 2023, the U.S. Securities and Exchange Commission (“SEC”) issued a proposed rule (the “Proposal”) under the Investment Advisers Act of 1940 (the “Advisers Act”), which.

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SEC Custody Rule Update: Takeaways From Recent Enforcement - Fund Management/ REITs

On Sept. 9, 2022, the U.S. Securities and Exchange Commission ("SEC") settled enforcement actions against nine private fund advisers for their failure to: (1) timely disseminate audited.

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