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SEC Scrutiny Of Private Fund Advisers Continues With Adoption Of New And Amended Rules Promoting Transparency And Investor Protection - Securities

In August 2023, the Securities and Exchange Committee (SEC) adopted new and amended rules governing private fund advisers. Under the Investment Advisers Act of 1940.

Fund advisersFund auditsRequirements applicable only to registered private fundFund compliance programsExchange committeeExemptions for legacy private fund agreementsRequirements applicable to all private fundInvestment advisers actAdvisers actPrivate fund advisersRegistered investment advisersPrivate fundsAll private fundLegacy private fundApplicable onlyRegistered private fund

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United statesRobert holowkaSamuel thomasMelissa roverts harkeJill pritzkerSirimalr mukerjeeFund reporting depositoryFund advisers with less thanWhile the commissionDivision of investment managementFinancial crisis inquiry commissionLarge private equity fund advisersStatutory authorityRegulatory affairsEquity fund investment strategiesD large private equity fund adviser

Regulators GP-Led Secondaries, Continuation Funds Increased Focus

Over the years, the SEC and its staff have expressed several different concerns potentially arising under GP-led secondary transactions implicating the duty of care and the duty of loyalty.

Office of compliance inspectionsEvent reporting for large hedge fund advisersDivision of examinationsEquity fund advisersProskauer roseDivision of examinationFund adviserConcerns implicatedLed secondaryInvestment advisers actRequire event reportingLarge hedge fund advisersPrivate equity fund advisersAmend reporting requirementsLarge private equity fundExamination priorities

Regulators Increased Focus on GP-Led Secondaries and Continuation Funds | Proskauer - The Capital Commitment

As IPOs and other traditional paths to liquidity for private assets have become more challenging, GP-led secondary transactions have emerged as a powerful and popular tool across.

Event reporting for large hedge fund advisersEquity fund advisersDivision of examinationOffice of compliance inspectionsFund adviserProskauer roseDivision of examinations examination prioritiesConcerns implicatedLed secondaryInvestment advisers actRequire event reportingLarge hedge fund advisersPrivate equity fund advisersAmend reporting requirementsLarge private equity fundExaminations examination priorities

SEC Proposes Significant Amendments to Form PF | Proskauer Rose LLP

On January 26, 2022, the U.S. Securities and Exchange Commission (the “SEC”) proposed amendments to Form PF and related rules (the “Proposed Amendments”) under the Investment Advisers.

Geographic breakdown of fund investmentsRecapitalizations of portfolio companiesLarge hedge fund advisersEquity fund strategiesLarge liquidity fund advisersExchange commissionProskauer roseHedge fundPartner or limited clawbackPortfolio company level borrowingA qualifying hedge fundInvestment advisers actFinancial stability oversight counselProposed amendmentsDodd frank actQualifying hedge fund

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