In this issue, we discuss recent developments regarding enforcement of the Corporate Transparency Act, and the SEC staff’s updated FAQs regarding the Names Rule under the Investment Com...
In this issue, we discuss recent developments regarding enforcement of the Corporate Transparency Act, and enforcement actions involving investment advisers’ alleged violations of the M...
In this issue, we discuss technical amendments adopted by the SEC to reflect the federal court’s decision to vacate the private fund advisers rule under the Advisers Act.
Davis Polk partner Greg Rowland co-authored a chapter in Global Legal Insight’s Blockchain & Cryptocurrency Laws and Regulations 2025 titled “Cryptocurrency and other digital asset fu...
In this issue we discuss, among other things, recent enforcement actions involving investment advisers and alleged violations of the Marketing Rule under the Advisers Act.
The SEC’s form and rule amendments require 1940 Act funds to enhance their periodic portfolio reporting. The SEC also provided guidance regarding liquidity risk management programs, add...
FinCEN’s Investment Adviser Rule will, as of January 1, 2026, require certain investment advisers to implement and maintain AML/CFT compliance programs and monitor for and report suspic...
In this issue we discuss, among other things, amended reporting requirements for registered funds and SEC guidance regarding open-end fund liquidity risk management programs, as well as r...
In this issue, we discuss a recent enforcement action involving a private fund adviser that allegedly included misleading performance information in advertisements in violation of the Mar...
