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SEC Proposes Service Provider Oversight Regime for Investment Advisers

USA - November 11 2022 The Securities and Exchange Commission (the “SEC”) has proposed new rules that would dictate with great specificity the manner in which…

Allison Scher Bernbach, Philip J. Bezanson, Kelly Koscuiszka

SEC Adopts New Reporting Requirements for Form 13F Filers to Disclose “Say-On-Pay” Votes and Enhances Voting Disclosures Required by Registered Funds

USA - November 10 2022 On Nov. 2, 2022, the Securities and Exchange Commission (“SEC”) adopted new Rule 14Ad-1 and amendments to Form N-PX. Under new Rule 14Ad-1, Form 13F…

Kelly Koscuiszka, John J. Mahon, Adriana Schwartz

SEC Pay-to-Play Rule Update: Recent SEC Enforcement Activity and What It Means for the November Midterms

USA - September 21 2022 On Sept. 15, 2022, the U.S. Securities and Exchange Commission (“SEC”) settled enforcement actions against four investment advisers for violating…

Allison Scher Bernbach, Peter D. Greene, Kelly Koscuiszka

SEC Marketing Rule Update: What Private Fund Advisers Should Be Thinking About as the November 4 Compliance Date Approaches

USA - September 20 2022 By Nov. 4, 2022 (the “Compliance Date”), registered investment advisers (“RIAs”) must comply with the requirements of amended Rule 206(4)-1 (the…

Christopher S. Avellaneda, Allison Scher Bernbach, Tinika M. Brown, Meghan J. Carey, Kelly Koscuiszka, Tarik M. Shah

SEC Custody Rule Update: Takeaways from Recent Enforcement

USA - September 19 2022 On Sept. 9, 2022, the U.S. Securities and Exchange Commission (“SEC”) settled enforcement actions against nine private fund advisers for their…

Christopher S. Avellaneda, Allison Scher Bernbach, Tinika M. Brown, Meghan J. Carey, Kelly Koscuiszka, Tarik M. Shah