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Latest from SEC

CommuniquesLatest from SECPrivate Fund Rules

A New Era for Co-Investments?

April 26, 2025 No Comments

The SEC just proposed major updates that could make life easier for BDCs, closed-end funds, and their advisers when it comes to co-investing.

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Regulatory Roundup for February and March 2025

April 7, 2025 No Comments

Stay informed with our February–March 2025 Regulatory Roundup, featuring practical insights on key SEC developments, including updates to the Marketing Rule, crypto regulation, and Rule 506(c) under Regulation D.

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Predictions for 2025: What Private Fund Advisers Can Expect from SEC Examinations

March 5, 2025 No Comments

Check out the latest trends we are seeing in SEC examinations for private fund managers, including a sharper focus on conflicts of interest, fee transparency, and compliance with evolving regulatory expectations.

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The Most Wonderful Time of the Year: Form ADV Season

February 10, 2025 No Comments

Check out our latest tips on updating your Form ADV.

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Regulatory Roundup for January 2025

January 31, 2025 No Comments

Welcome to our January 2025 Regulatory Roundup, where we provide practical advice on the latest regulatory headlines.

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Lessons from 2024: Tips for Private Fund Managers

January 27, 2025 No Comments

As we look back on the SEC’s actions in 2024, we wanted to share our thoughts on lessons learned that we believe will carry through to 2025.

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Regulatory Roundup for December 2024

December 31, 2024 No Comments

Stay informed with our December 2024 Regulatory Roundup, covering key SEC enforcement trends, leadership transitions, and crucial compliance lessons for investment advisers.

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Tips for Updating Your Compliance Program in 2025

December 12, 2024 No Comments

Discover the key updates your compliance program needs in 2025 to stay ahead of SEC scrutiny and protect your firm from costly missteps.

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Advisers’ Year-End Checklist for 2024

December 3, 2024 No Comments

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

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Regulatory Roundup for October and November 2024

November 22, 2024 No Comments

Thanks to the SEC for No New Rules, Unsurprising 2025 Exam Priorities and Lessons on Greenwashing, Valuation Shortcuts and Registration Requirements for Affiliates.

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