Fried Frank Harris Shriver & Jacobson LLP | USA | 16 Feb 2024
On February 15, 2024, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) issued a proposed rule (“the Proposed…
K&L Gates LLP | USA | 12 Feb 2024
On 5 February 2024, the US Fifth Circuit Court of Appeals heard oral arguments from the Securities and Exchange Commission (SEC) and industry groups…
Akin Gump Strauss Hauer & Feld LLP | USA | 8 Feb 2024
The staff of the Division of Investment Management has prepared the following responses to questions rel…
Frost Brown Todd LLP | USA | 1 Feb 2024
On January 24, 2024, the Securities and Exchange Commission (SEC) adopted final rules related to special purpose acquisition companies (SPACs). A…
K&L Gates LLP | USA | 23 Jan 2024
This past Friday, the SEC staff issued a set of responses to FAQs on the Tailored Shareholder Reports (TSRs) Rule. While these responses only…
Macfarlanes LLP | European Union, Global, United Kingdom, etc. | 18 Oct 2023
The US regulatory scene for private capital and related funds remains very active. For example, on 11 September 2023, the SEC announced charges…
Goulston & Storrs PC | USA | 17 Oct 2023
The Securities and Exchange Commission (“SEC”) recently adopted sweeping new rules (the “Rules”) under the Investment Advisers Act of 1940 (the…
Sidley Austin LLP | USA | 17 Oct 2023
In its 2023 fiscal year that ended on September 30, the U.S. Securities and Exchange Commission (SEC or Commission) brought over 150 enforcement…
Cadwalader Wickersham & Taft LLP | USA | 14 Jan 2022
An investment adviser settled SEC charges for improperly promoting hypothetically back-tested performance information. The SEC found that the adviser…