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Proskauer Rose LLP | USA | 3 Dec 2020
OCIE Issues Risk Alert on Common Deficiencies Observed in Adviser Compliance Programs
On November 19, 2020, the SEC published a risk alert providing an overview of notable compliance issues identified by the agency’s Office of…
PRO Compliance | Australia, Canada, European Union, etc. | 2 Dec 2020
Compliance management: Key updates for compliance teams this week
How to manage a contract throughout its lifecycle, prepare for upcoming changes to whistleblowing regulation and covid-proof your compliance programme.
Skadden Arps Slate Meagher & Flom LLP | USA | 23 Nov 2020
SEC Adopts Rules for Use of Derivatives by Registered Investment Companies
On October 28, 2020, the Securities and Exchange Commission (SEC) voted to adopt new rules and rule and form amendments designed to provide an updated…
Kilpatrick Townsend & Stockton LLP | USA | 29 Oct 2020
PE Fund Adviser Sanctioned by SEC for Fee Calculation Errors - Ordered to Disgorge Fees and Pay Fine, Totaling Nearly $1.2 Million
On October 22, 2020, the SEC entered an order against a private equity fund adviser (that is also an exempt reporting adviser) for failing to…
Thompson Hine LLP | USA | 14 Sep 2020
SEC Expands Accredited Investor and Qualified Institutional Buyer Definitions
On August 26, the Securities and Exchange Commission (SEC or Commission) adopted amendments to the definitions of “accredited investor” and “qualified…
Kilpatrick Townsend & Stockton LLP | USA | 31 Aug 2020
The SEC Modernizes the "Accredited Investor" Definition
On August 26, 2020, the Securities and Exchange Commission (SEC) adopted amendments to the definition of “accredited investor” to add new categories…
Skadden Arps Slate Meagher & Flom LLP | USA | 28 Aug 2020
SEC Expands Accredited Investor Definition To Allow More Participation in Private Offerings
On August 26, 2020, the Securities and Exchange Commission (SEC) adopted amendments to expand the definition of “accredited investor” in Rule 215 and…
Thompson Hine LLP | USA | 3 Aug 2020
Maintaining Compliance with Your Portfolio Management Process
In a previous blog post, we discussed an adviser’s fiduciary duty to provide advice based on the client’s financial situation and investment…
Ropes & Gray LLP | USA | 22 Jul 2020
Podcast: SEC Issues Risk Alert: Compliance Issues for Investment Advisers Managing Private Funds - What You Need to Know
In this Ropes & Gray podcast, asset management partner Jason Brown and litigation partner Dan O’Connor discuss the SEC’s Office of Compliance…
Kilpatrick Townsend & Stockton LLP | USA | 16 Jul 2020
OCIE's Focus on Private Fund Advisers Continues in Recent Risk Alert
While the financial industry was busy enjoying family vacations and a relaxing break for the July 4th holiday, the SEC stayed busy releasing new…
