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SEC proposes cybersecurity rule for registered funds and investment advisers

USA - April 28 2022 Final comments were due last week to the Securities and Exchange Commission (SEC)’s proposed cybersecurity risk management rules for registered…

Ryan P Blaney

The Bottom Line of Complying with the SEC’s Q New Marketing Rule

USA - October 14 2022 In the late fall of 2020, the SEC implemented rule amendments which created a single rule, the Marketing Rule, that replaces the current Advertising…

Nicholas C. Noon, Robert E Plaze

SEC proposes ESG reporting and disclosure requirements for private fund advisers

USA - June 13 2022 On May 25, the Securities and Exchange Commission (“SEC”) issued proposed rules under the Investment Advisers Act of 1940 (“Advisers Act”) for…

Mark S. Audet, Robert E Plaze

In A Trinity of Releases, the SEC Proposes To Make Hedging Transactions More Transparent

USA - April 15 2022 In a trinity of proposing releases rolled out in less than three months, the SEC has comprehensively proposed to regulate the use of derivatives and…

Robert G Leonard, Michael F Mavrides, Louis Rambo, Elanit Snow, Christopher M Wells, Frank Zarb

SEC reopens comment period for proposed private fund adviser rules

USA - May 10 2022 Yesterday, the U.S. Securities and Exchange Commission (“SEC”) announced that it will reopen the public comment period on its proposed rules relating…

Howard J Beber, Michael F Mavrides, Robert E Plaze