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Reminder: Electronic Submissions of Form BE180 Filing Due October 30, 2020

USA - October 14 2020 Every five years, the U.S. Department of Commerce Bureau of Economic Analysis (BEA) conducts a Benchmark Survey of Financial Services Transactions…

Jonathan T. Ammons, Cole Beaubouef, Anna R. Easter, Christine A. Edwards, Basil V. Godellas, Jacqueline P. Hu, Beth R. Kramer, Michael L. Loesch, Halima A. Nguyen, Michael G. Wu

New SEC Rule Will Require Updates to Private Fund Documentation and Policies

USA - September 9 2020 The new rule amends the definitions of accredited investor and qualified institutional buyer, in order to allow a broader range of persons and…

Jonathan T. Ammons, Cole Beaubouef, Basil V. Godellas, Jacqueline P. Hu, Beth R. Kramer, Michael L. Loesch, Halima A. Nguyen, Michael G. Wu

OCIE Alert for COVID 19Related Compliance Risks and Considerations

USA - August 19 2020 On August 12, 2020, the U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert…

Halima A. Nguyen, Michael G. Wu

By Enforcement, SEC Clarifies Prohibition on ReDistribution of 144A Securities

USA - July 30 2020 The SEC recently fined Colorado-based investment advisory firm First Western Capital Management Company (FWCM) $200,000 for allegedly purchasing…

Halima A. Nguyen, Michael G. Wu

OCIE Warns of Increasingly Sophisticated Ransomware Attacks Affecting SEC Registrants

USA - July 17 2020 On July 10, 2020, the U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert…

Halima A. Nguyen, Michael G. Wu