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OCIE Publishes Cybersecurity and Resiliency Observations

USA - February 6 2020 On January 27, 2020, the U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations ("OCIE") published its...

Evan J. Zepfel, Robert G Leonard, Michael F Mavrides.

OCIE's 2020 Exam Priorities Key Takeaways for Private Fund Managers

USA - January 14 2020 Last week, the SEC's Office of Compliance Inspections and Examinations released its 2020 Exam Priorities with a number of areas of interest to private...

Joshua M Newville, Samuel J. Waldon, Stephen T. Mears.

CFTC Adopts Final Rules Clarifying CPO and CTA Exemptions for Family Offices, BDCs

USA - January 6 2020 On November 25, 2019, the Commodity Futures Trading Commission (CFTC) approved final rule amendments intended to simplify certain existing CFTC rules...

Anthony M Drenzek.

Hedge Fund Firms - What Do You Need to Consider Under the CCPA?

USA - December 11 2019 The California Consumer Privacy Act of 2018 (CCPA) will take effect on January 1, 2020, and hedge fund firms may be subject to the CCPA even if they...

Stephanie J. Kapinos, Christina Hyun Jin Kroll, Ryan P Blaney, Robert G Leonard, Michael F Mavrides.

SEC Releases Proposal to Revise the Advertising and Cash Solicitation Rules for Investment Advisers

USA - November 18 2019 On November 4, 2019, the U.S. Securities and Exchange Commission (the "SEC") issued a release proposing to revise the rules pertaining to investment...

Anthony M Drenzek, Robert E Plaze.