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Top Tips for Updating Your 2024 Compliance Program | SEC Compliance Consultants, Inc. (SEC³)

Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is. ....

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Nutter Securities Enforcement Update: April 18, 2024 | Nutter McClennen & Fish LLP

The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that. ....

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Regulatory Developments and Annual Compliance Obligations Applicable to Private Fund Sponsors | Weil, Gotshal & Manges LLP

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Over the course of the last year, there have been a number of regulatory developments affecting private funds and their investment advisers that private equity sponsors should be aware of. We would also like to remind our private equity clients of important upcoming regulatory filings and compliance obligations in 2021.
REGULATORY DEVELOPMENTS -
New Advisers Act Marketing Rule -
In December 2020, the SEC substantially amended its rules under the Investment Advisers Act of 1940 (Advisers Act) governing advertisements by registered investment advisers and compensation paid to solicitors by such advisers. The amendments create a single rule (the marketing rule) that replaces the current advertising and cash solicitation rules, Rule 206(4)-1 and Rule 206(4)-3, respectively. The SEC also made related revisions to Form ADV and Rule 204-2, the books and records rule. The amendments will consolidate SEC staff p ....

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