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Exempt Reporting Advisers And SEC Scrutiny - Securities

Exempt reporting advisers (ERA) have become a topic of interest for the U.S. Securities and Exchange Commission's (SEC) Division of Enforcement due in large part to their growing popularity.

United statesFund adviserUs department of the treasuryOffice of foreign asset controlDivision of enforcementInvestment companyExchange commissionFund adviser exemptionRegulatory authorityExempt reportingPrivate fund adviserVenture capital adviser exemptionDodd frank actInvestment advisers actAdvisers actPrivate fund adviser exemption

MFA submits supplemental comment letter in response to SEC s Private Fund Advisers rule

MFA submits supplemental comment letter in response to SEC s Private Fund Advisers rule
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Exchange commissionFund adviserFunds associationManaged funds associationPrivate fund adviser

Top 5 SEC Enforcement Developments For February 2022 - Corporate/Commercial Law

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources.

Arnold feistHester peirceRule changes on private fund adviserBaxter international incFinancial industry regulatory authorityProposed rule changesPrivate fund adviserShort salesProposed changesFiscal yearInteractive brokers chief complianceInteractive brokersBlockfi settlementBlockfi lendingBlockfi interestSecurities act

Observations from Examinations of Private Fund Advisers

On June 23, 2020, the U.S. Securities and Exchange Commission SEC Division of Examinations EXAMS issued a risk alert based on 5 years of examinations of registered investment advisers that manage private equity funds or hedge funds collectively “private fund advisers.

Exchange commissionD private fund adviser liabilityDivision of examinationsInadequate due diligence on important service providersConduct inconsistentPost commitment periodAkey personDisclosures regarding performanceDue diligenceImportant service providersInvestment dueAdvisers actPrivate fund adviserHeitman no action letterSecurities and exchange commissionDivision of examinations

Observations From Examinations Of Private Fund Advisers - Finance and Banking

On June 23, 2020, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (EXAMS) issued a risk alert based on 5 years of examinations of registered investment advisers that manage.

Exchange commissionD private fund adviser liabilityDivision of examinationsInadequate due diligence on important service providersConduct inconsistentPost commitment periodAkey personDisclosures regarding performanceDue diligenceImportant service providersInvestment dueAdvisers actPrivate fund adviserHeitman no action letterObservations from examinations of private fund advisersCorporate commercial law