Articles

Results 1 to 5 of 5
Most popular |Most recent


SEC Guidance for Private Fund Advisers

USA - July 7 2020 On June 23, 2020, the US Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a risk alert (Risk…

Gretchen Passe Roin, Timothy F. Silva.

CFTC Enforcement and Regulatory Developments

USA - June 11 2020 On June 4, 2020, the Commodity Futures Trading Commission (CFTC) unanimously approved the adoption of a final rule (Final Rule)1 prohibiting a…

Paul M. Architzel, Petal Walker, Seth Davis.

COVID-19: Investment Management Relief

USA - June 10 2020 The COVID-19 pandemic has caused disruption throughout the investment management industry. The U.S. Securities and Exchange Commission (SEC), along…

Phillip Gillespie, Timothy F. Silva.

SEC Extends Deadline for Form ADV and Form PF Filing for Advisers, Disclosure Relief for Registered Funds and Business Development Companies

USA - March 18 2020 On March 13, 2020, the Securities and Exchange Commission (SEC) issued an order (the Advisers Act Release) under the Investment Advisers Act of 1940…

Gretchen Passe Roin, Leonard A. Pierce, Phillip Gillespie, Timothy F. Silva.

SEC Commissioner Hester M. Peirce Proposes a Path for Regulatory Certainty in Token Sales

USA - February 21 2020 Introduction In a speech on February 6, 2020, US Securities and Exchange Commission (SEC) Commissioner Hester M. Peirce outlined a proposed safe…

Jeremy Moorehouse, Lillian Brown, Tiffany J. Smith.