Compliance officers love checklists, so we’ve put together some “to dos” to consider completing before the end of the year. Enjoy! Get out Your Checkbook
Thanks to the SEC for No New Rules, Unsurprising 2025 Exam Priorities and Lessons on Greenwashing, Valuation Shortcuts and Registration Requirements for Affiliates.
In the SEC’s burst of settlements at the end of its fiscal year, one case about the potential misuse of material nonpublic inside information (“MNPI”)
Advisers Drafted by FinCEN for AML Duty, More Fines for E-Comm Retention Failures and a September Miracle, SEC Falls Back on Broken Windows Strategy, and a Refusal to Give Up on Private Fund Rules.
September 30 is the SEC’s fiscal year-end, so it’s no surprise to see an uptick in enforcement cases this month. The latest slew of settlements
More Flack on WhatsApp, Hypothetical Performance SmackDown, A Timely Warning on the Pay-to-Play Rule, and Updates to Qualifying Venture Capital Fund Exemption.
Most compliance officers struggle to determine whether they are conducting enough testing to satisfy their obligations under the Advisers Act. In its release adopting Advisers
In this edition, we discuss the implications of the Supreme Court’s decision in SEC v. Jarkesy that limits the Commission’s use of in-house judges, two Texas federal district court judges issued stays blocking the implementation DOL’s Retirement Security Act and PTE 2020-02, and the SEC’s latest schedule for issuing various final Advisers Act rules. Enjoy!
Many private fund managers are breathing a sigh of relief after the Fifth Circuit struck down the Private Fund Rules (check out our blog post
In this edition of Regulatory Roundup, we discuss the implications of the Fifth Circuit’s striking down the Private Fund Rules, a survey on how much time advisers are spending on compliance with the Marketing Rule, a case study on how not to show fund performance and an SEC settlement where the obligations of Reg BI and fiduciary duty are blurred.
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