On Wednesday, the Securities and Exchange Commission (SEC) proposed amendments to modernize the internet adviser exemption from prohibition on SEC registration for smaller advisers. Investment advisers are
Adopted in November 2022 with a first filing due in August of 2024, the adopted amendments to Form N-PX has flown largely under the radar for
Last week, the Securities and Exchange Commission (“SEC”) announced the settlement of two enforcement actions relating to disclosure and policies and procedures violations involving two
On June 8, 2023, the U.S. Securities and Exchange Commission Division of Examinations released a second Risk Alert concerning amended Rule 206(4)-1 (the “Marketing Rule”).
Yesterday, the Securities and Exchange Commission (“SEC”) charged HSBC Securities (USA) Inc. and Scotia Capital (USA) Inc. for widespread failures to maintain and preserve electronic communications in
Yesterday, the Securities and Exchange Commission (“SEC”) adopted amendments to Form PF that affect advisers to all private equity funds and large hedge fund advisers.
Last Friday, the Securities and Exchange Commission (SEC) reopened the comment period for its proposed amendments to modernize the rules governing beneficial ownership reporting. The
Tips for SEC Exam Preparedness Before the SEC comes in: Once you are notified of an Exam: New for 2023: SEC³
As we wrap up another Form ADV season, we here at SEC3 wanted to remind all of our private fund advisers with a calendar fiscal
The Securities and Exchange Commission (“SEC”) issued a Risk Alert on March 27, 2023, Observations from Examinations of Newly Registered Advisers. The Risk Alert focuses
