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US SEC Proposes Rules Regarding ESG for Certain Funds and Advisers

USA - May 26 2022 At an open meeting on May 25, 2022, the US Securities and Exchange Commission (“SEC” or “Commission”) approved two new proposals that will impact the…

J. Paul Forrester

US Securities and Exchange Commission Division of Examinations 2022 Exam Priorities

USA - April 14 2022 On March 30, 2022, the Division of Examinations of the US Securities and Exchange Commission (the “Division” and “SEC,” respectively) announced its…

Leslie S. Cruz, Steffen Hemmerich, Wonji L. Kim, Peter M. McCamman, Stephanie M. Monaco, Anna T. Pinedo, Stephen Vogt

US SEC Cyber Risk Management Proposed Rules: Analysis for Investment Advisers, Investment Companies, BDCs and Broader Implications for Private Sector

USA - April 13 2022 On February 9, 2022, the Securities Exchange Commission (“SEC” or “Commission”) voted 3-1 to propose rules, forms and amendments concerning…

Leslie S. Cruz, Rajesh De, Vivek K. Mohan, Joshua M. Silverstein, David A. Simon, Christina M. Thomas, Jennifer L. Weinberg

SEC Proposal Significantly Impacts Private Fund Advisers and Investors

USA - February 25 2022 On February 9, 2022, the US Securities and Exchange Commission (the "SEC") voted to propose a suite of new rules and amendments (the "Proposal") under…

Leslie S. Cruz, Peter Y. Choung, Timothy M. Clark, J. Paul Forrester, Wendy Dodson Gallegos, Kristine M. Koren, Elizabeth McClain, Tram N. Nguyen, JoonBeom Pae

SEC Proposals Would Significantly Impact Private Fund Advisers and Impose New Cybersecurity Requirements on Registered Advisers and Funds, including BDCs

USA - February 14 2022 On February 9, 2022, the US Securities and Exchange Commission (SEC) voted to propose several new rules and amendments to existing rules that would…

Vivek K. Mohan, Christina M. Thomas