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US Asset Management Regulatory Year in Review 2023

It is a dramatic understatement to describe 2023 as a busy year in the United States for asset management regulation. With 24 rules adopted and 18…

United statesNoord hollandRepublic ofNew yorkGary genslerSam bankmanExchange commissionNet zero asset managers initiativeFinancial industry regulatory authorityInvestment management americas incExchange act ruleGab communicationsBank secrecyInvestment companyOffice of foreign assetsDivision of examinations

SEC Adopts Controversial And Sweeping Changes To Private Fund Rules; Requires Documentation Of Annual Compliance - Fund Finance

On August 23, the Securities and Exchange Commission (SEC) voted 3-2 (with Commissioners Peirce and Uyeda dissenting) in favor of adopting new and amended rules.

Exchange commissionFund advisersApplicable to all private fund advisers includingFund audits ruleFees for unperformed servicesCommissioners peirceInvestment advisers actAdvisers actRegistered private fundFund auditsAdvisers act ruleCustody ruleSafeguarding ruleFederal registerLed secondariesAll private fund advisers

SEC Adopts New Rules For Private Fund Advisers -

Earlier this week (August 23, 2023), the Securities and Exchange Commission (SEC) adopted rules that will dramatically expand the compliance and operational obligations.

Gary genslerDivision of examinationsFund audit ruleFund advisersFund adviser ruleDivision of enforcementFund advisers ruleChairman gary genslerInvestment advisersAdvisers actPrivate fund advisers ruleUnregistered exempt advisersUnregistered exemptPreferential treatment rulePrivate fund advisersFund audit

SEC Adopts Controversial And Sweeping Changes To Private Fund Rules; Requires Documentation Of Annual Compliance - Fund Finance

On August 23, the Securities and Exchange Commission (SEC) voted 3-2 (with Commissioners Peirce and Uyeda dissenting) in favor of adopting new and amended rules.

Fund audits ruleExchange commissionApplicable to all private fund advisers includingFund advisersFees for unperformed servicesCommissioners peirceInvestment advisers actAdvisers actRegistered private fundFund auditsAdvisers act ruleCustody ruleSafeguarding ruleFederal registerLed secondariesAll private fund advisers

SEC Adopts New Advisers Act Rules for Private Fund Advisers | Troutman Pepper

On August 23, the Securities and Exchange Commission (SEC) adopted new rules (Adopting Release) for private fund advisers under the Investment Advisers Act of 1940, as amended (Advisers.

Hesterm peirceLisa crossleyGenna garverNational society of compliance professionals aprFund audit ruleFund advisersFund tableFund adviserInvestment companyExchange commissionSeeprivate fund advisersAdopting releaseInvestment advisers actAdvisers actAdvisers act rulesStatements rule

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