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Cadwalader Cabinet: Form PF Deadline and More

Comments are due by March 21, 2022 on an SEC proposal to amend Form PF. The Form is used for reporting by certain SEC-registered investment advisers to private funds, and the SEC is proposing to amend its insider trading rules, particularly SEA Rule 10b5-1 ....

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Form PF Amendments to Increase Oversight of Private Funds

SEC proposed amendments to Form PF, the form required to be filed by advisers to private funds. The amendments require large hedge fund advisers and private equity advisers to file current reports within one business day of the occurrence of certain significant events. ....

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Cadwalader Cabinet: SEC Updates, FINRA AML Violations and More

SEC proposed amendments to Form PF, the SEC proposed to expand the definition of exchange under SEA Rule 3b-16, federal executive Advisory on the risks associated with doing business in Burma, a firm settled FINRA charges for failure to establish AML policies, and more. ....

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Cadwalader Cabinet: SEC Updates, FINRA AML Violations and More

SEC proposed amendments to Form PF, the SEC proposed to expand the definition of exchange under SEA Rule 3b-16, federal executive Advisory on the risks associated with doing business in Burma, a firm settled FINRA charges for failure to establish AML policies, and more. ....

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