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Fifth Circuit Reviews Private Fund Advisers Rule - Securities

A "private fund" is an investment vehicle that is not required to be registered or regulated as an investment company under the Investment Company Act of 1940 (the ICA).

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2024 Investment Adviser Compliance Calendar - Securities

SEC-registered investment advisers are subject to an array of reporting and compliance obligations in order to maintain registered investment adviser status.

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Investment Adviser Expectations in 2024 | Davis Wright Tremaine LLP

Like many other industries, Registered Investment Advisers ("RIAs") have dealt with significant regulatory, technological, and systemic change in recent years. Compared to.

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What Plan Fiduciaries Should Know About SEC s Final Form PF Amendments - Compliance

On May 3, 2023, the Securities & Exchange Commission ("SEC") adopted amendments to Form PF (the "Final Amendments"). Plan fiduciaries that utilize private equity funds.

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What Plan Fiduciaries Should Know About SEC s Final Form PF Amendments | Groom Law Group, Chartered

What Plan Fiduciaries Should Know About SEC s Final Form PF Amendments | Groom Law Group, Chartered
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Securities exchange commissionCurrent reporting for large hedge fund advisorsGroom law groupQuarterly reporting for private equity fund advisorsExchange commissionFinal amendmentsProposed amendmentsAssets under managementCurrent reportingLarge hedge fundQuarterly reportingPrivate equity fundAdviser led secondaryInvestment periodRevised reporting