In this issue, we discuss proposed rules relating to the use of predictive data analytics by investment advisers, and proposed reforms for investment advisers operating exclusively throug...
In this issue, we discuss a risk alert relating to the Advisers Act Marketing Rule and recent enforcement actions regarding valuation and management fees.
In this issue, we discuss a risk alert relating to the Advisers Act Marketing Rule and recent enforcement actions regarding valuation and management fees.
In this issue, we discuss an SEC Examinations Division risk alert on LIBOR-transition preparedness, and recent remarks of SEC Director Birdthistle regarding developments in the asset man...
In this issue, we discuss an SEC Examinations Division risk alert on LIBOR-transition preparedness, an SEC staff bulletin on standards of conduct for investment advisers and a recent enfo...
The SEC’s amendments to Form PF include new event reporting requirements for large hedge fund advisers within 72 hours of the occurrence of certain events, and for private equity fund a...
In this issue, we discuss Risk Alerts issued by the SEC Examinations Division regarding examinations of newly-registered advisers and the safeguarding of customer information at branch of...
In this issue, we discuss Risk Alerts issued by the SEC Examinations Division regarding examinations of newly-registered advisers and the safeguarding of customer information at branch of...
The SEC’s proposed amendment would expand the current custody rule under the Advisers Act to cover a broader array of client assets and advisory activities and impose new custodial prot...
