Kelley A. Howes
Morrison & Foerster LLP
Articles
Getting to Yes - Kelley Howes Speaks with Host Richard Levick
USA - July 20 2022 Kelley Howes joins Richard Levick on the In House Warror Podcast to discuss some of the changes being introduced by SEC Chairman Gary Gensler…
SEC Flags Deficiencies in Investment Adviser MNPI Compliance Practices
USA - May 2 2022 On April 26, 2022, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert flagging certain notable deficiencies that it has observed…
SEC proposes new rules and amendments applicable to private fund advisers
USA - February 14 2022 On February 9, 2022, the U.S. Securities and Exchange Commission (the “SEC”) proposed new rules and amendments under the Investment Advisers Act of…
SEC identifies additional risk areas from examinations of private fund advisers
USA - February 10 2022 On January 27, 2022, the SEC’s Division of Examinations (“EXAMS”) released a risk alert (the “Risk Alert”) outlining its observations regarding…
SEC proposes to expand private funds reporting requirements
USA - January 31 2022 On January 26, 2022, the U.S. Securities and Exchange Commission (SEC) proposed amendments to Form PF, the confidential reporting form the SEC uses…
