On February 21, 2013, the SEC announced its 2013 exam priorities. The SEC outlined its market-wide priorities followed by priorities in four distinct examination programs:
Many Commodity Pool Operators (CPOs) are currently in the process of preparing to file the new Form CPO-PQR, which is required by the Commodity Futures
All commodity pool operators (“CPOs”) and commodity trading advisers (“CTAs”) that claimed an exemption last year must re-affirm their exemptions within 60 days from calendar
Bloomberg News and Reuters reported on Sunday, February 3 about a lawsuit filed by two U.S. pension funds on January 18, 2013 against an ETF
In a rare acceptance of a case collaterally involving the U.S. Securities Laws, the U.S. Supreme Court accepted an appeal by Marc Gabelli and Bruce
In a speech before the Private Equity International Conference yesterday, Bruce Karpati, the chief of the Asset Management Unit of the SEC Enforcement Division reiterated
Securities and Exchange Commission (“SEC”) staff has suggested greater involvement and concern by Division of Enforcement staff with respect to examinations of registered investment advisers,
Private fund managers have been able to avoid registering with the SEC by limiting the number of funds they advised to fewer than 15. Now,
SEC Enforcement Examinations? Mr. Karpati indicated that “these Units work to generate expertise for the Division of Enforcement” and that “they consult on exams;
There were a number of important regulatory developments in November, which we will cover in detail over the coming weeks. Here are the top three
