Michael S. Hong

Rules and Regulations SEC Expands Access to Private Offerings Industry Update OCIE Publishes Risk Alert on Cybersecurity: Safeguarding Client Accounts Against Credential Compromise Li...

Rules and Regulations SEC Expands Access to Private Offerings Industry Update OCIE Publishes Risk Alert on Cybersecurity: Safeguarding Client Accounts Against Credential Compromise Li...

Rules and Regulations SEC Modernizes the Accredited Investor Definition SEC Proposes Amendments to Modernize Fund Shareholder Reports and Disclosures Industry Update OCIE Publishes Ris...

Rules and Regulations SEC Modernizes the Accredited Investor Definition Industry Update OCIE Publishes Risk Alert on Select COVID-19 Compliance Risks and Considerations for Broker-Deal...

Rules and Regulations SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers SEC Adopts Amendments to Exemptive Application Procedures Industry Update SE...

Rules and Regulations SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers Industry Update SEC Issues Supplemental Guidance Concerning Proxy Voting Responsi...

On July 22, 2020, the SEC issued a release with guidance that supplements its prior guidance regarding the proxy voting responsibilities of investment advisers under the Advisers Act. The...

COVID-19 Update SEC Extends Relief for Virtual Meetings of Registered Fund Boards Rules and Regulations SEC’s Division of Investment Management Delivers No-Action Letter to Investmen...

Rules and Regulations CFTC Adopts a Final Rule Limiting Commodity Pool Operator Registration Exemption Final Volcker Rule 2.1 – Covered Funds Industry Update OCIE Issues Risk Alert o...

On March 13, March 25 and June 19, the SEC issued exemptive orders providing temporary relief from certain filing and delivery obligations under the Investment Advisers Act and the Invest...