Tricia J. Lee

Dechert LLP

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SEC Proposes Conditional Registration Exemption for Finders

USA - October 15 2020 The Securities and Exchange Commission voted 3-2 on October 7, 2020 to publish for comment a proposed conditional exemption (Proposed Exemption)...

K. Susan Grafton, Russel G. Perkins, Elizabeth McClain, Monica R. Patel.

The Updated Accredited Investor and Qualified Institutional Buyer Definitions

USA - October 7 2020 The Securities and Exchange Commission on August 26, 2020 adopted amendments to the definition of "accredited investor" to: add new categories of...

Russel G. Perkins, Phillip Garber, Peter Yoon Choung, Kenneth Rasamny.

SEC Adopts Amendments to Update Accredited Investor and Qualified Institutional Buyer Definitions

USA - August 27 2020 The Securities and Exchange Commission on August 26, 2020 adopted amendments to the definition of "accredited investor" to: add new categories of...

Russel G. Perkins, Phillip Garber, Peter Yoon Choung, Kenneth Rasamny.

OCIE Publishes Risk Alert on COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers

USA - August 24 2020 The staff of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (staff) issued a National Exam Program Risk...

K. Susan Grafton, Mark D. Perlow, Ashley N. Rodriguez, Nicholas DiLorenzo.

OCIE Publishes Risk Alert Regarding Recent Focus Areas in Private Fund Adviser Examinations

USA - July 13 2020 The staff of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (staff) issued a National Exam Program Risk...

Mark D. Perlow, Russel G. Perkins, Timothy Spangler, Ashley N. Rodriguez, Matthew Bodziak.