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SEC Publishes Risk Alert on Advertising Rules

USA - November 7 2017 In September, the SEC published a Risk Alert highlighting the most frequent violations of the "Advertising Rules" (Rule 206-4(1) of the Advisers Act…

Jeremy B. Fancher, Scott E. Kitchens, Elizabeth Kemery Sipes, Mark W. Weakley, Elyse Yang

Revisions to Form ADV

USA - November 7 2017 As we previously summarized in September 2016, the SEC has adopted changes to Form ADV, the filing required to be made by nearly all SEC and…

Jeremy B. Fancher, Scott E. Kitchens, Elizabeth Kemery Sipes, Mark W. Weakley, Elyse Yang

Recent Developments in Cybersecurity

USA - November 7 2017 Over the past several years, the SEC has indicated that cybersecurity policies and procedures would be an area of focus during examinations. Click…

Jeremy B. Fancher, Scott E. Kitchens, Elizabeth Kemery Sipes, Mark W. Weakley, Elyse Yang

SEC Settles More Allegations of Misallocation of Fees and Expenses against Private Equity Fund Advisers

USA - November 7 2017 For several years the U.S. Securities and Exchange Commissions ("SEC") has focused its enforcement efforts on how private fund advisers allocate fees…

Jeremy B. Fancher, Scott E. Kitchens, Elizabeth Kemery Sipes, Mark W. Weakley, Elyse Yang

The Adviser: A Quarterly Update for Private Funds - Selected Compliance Calendar

USA - November 7 2017 The following compliance calendar includes selected upcoming deadlines for SEC-registered investment advisers and is not intended to be complete…

Jeremy B. Fancher, Scott E. Kitchens, Elizabeth Kemery Sipes, Mark W. Weakley, Elyse Yang