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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…

Jina Choi, Andre Fontana

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…

Hila Cohen, Leonora M. Shalet

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…

Leonora M. Shalet, Christine Wang

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…

Leonora M. Shalet