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On June 5, 2024, a three-judge panel in the U.S. Fifth Circuit Court of Appeals ruled that the Securities and Exchange Commission exceeded its statutory authority in adopting the...
The Securities and Exchange Commission the SEC adopted new and somewhat controversial rules and rule amendments the Final Rules under the U.S. Investment Advisers Act of 1940 the Act in the fall of 2023 that impact the regulation of private fund advisers Advisers. Under the Final Rules, Advisers registered under the Act will have increased compliance burdens and requirements regarding transparency to investors. The Final Rules also create additional prohibitions on all Advisers operating in the United States in relation to specified activities.
The Securities and Exchange Commission (the SEC) adopted new and somewhat controversial rules and rule amendments (the Final Rules) under the U.S. Investment Advisers Act of 1940 (the...
Many chief compliance officers struggle every year with preparing the annual review required under Advisers Act Rule 206(4)-7. To help you out, here’s our guide to writing your annual...
Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is...