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Weil Gotshal & Manges LLP | USA | 12 Sep 2023
SEC Issues Risk Alert on Adviser Examination Process and Settles Charges Regarding Advisers’ Marketing Rule Violations
On September 6, 2023, the SEC’s Division of Examinations (Division) issued a risk alert outlining its risk-based approach to selecting advisers for…
Hogan Lovells | Asia-Pacific, USA | 12 Sep 2023
SEC introduces sweeping new rules for private funds - what it means for APAC investors
The United States (U.S.) Securities and Exchange Commission (SEC) has passed new rules imposing new requirements and obligations on the private fund…
Frost Brown Todd LLP | USA | 11 Sep 2023
SEC Issues Long-Awaited Private Fund Adviser Rules
On August 23, 2023, the Securities and Exchange Commission (SEC) issued Release Number IA-6383, finalizing the long-anticipated expansion of its…
Kurtin PLLC | USA | 4 Sep 2023
Raising Capital through Private Placements: Deal Points
Any attempt to raise capital by the offer and sale of debt or equity securities in the U.S. market must be made with a publicly…
Kurtin PLLC | USA | 4 Sep 2023
Raising Capital through Private Placements Exemption chart
This is the Appendix 1 Securities Act Exemption Chart from our “Raising Capital through Private Placements: Deal Point…
Lexology PRO | USA | 29 Aug 2023
SEC tightens private fund adviser rules
The US Securities and Exchange Commission has released its final rule on private fund advisers, but critics say the rule will mean increased compliance costs – with one industry body threatening litigation.
Eversheds Sutherland (US) LLP | USA | 25 Aug 2023
SEC finalizes highly controversial private fund adviser rule set - a quick review of where things landed
On Wednesday, August 23, the SEC voted by a 3-2 margin to adopt new and amended rules under the Investment Advisers Act of 1940 that will impose a…
Weil Gotshal & Manges LLP | USA | 24 Aug 2023
SEC Adopts Significant New Rules Regarding the Regulation of Private Fund Advisers
On August 23, 2023, the SEC adopted new rules under the Investment Advisers Act of 1940 (the Advisers Act) that significantly increase the regulation…
Sullivan & Cromwell LLP | USA | 17 Aug 2023
SEC Proposes New Rules With Heightened Conflict of Interest Standards for Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
On July 26, 2023, the Securities and Exchange Commission (the “SEC”) voted 3 to 2 (Commissioners Peirce and Uyeda dissenting) to propose new rules…
Mayer Brown | USA | 16 Aug 2023
SEC Open Meeting Announced for August 23
The Securities and Exchange Commission announced that it will hold an open meeting on August 23, 2023 during which it will consider, among other…
