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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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SEC Issues Risk Alert Related to Security Based Swap Dealers

SEC Issues Risk Alert Related to Security Based Swap Dealers
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SEC Adopts Third Set of Amendments to Form PF | Dechert LLP

The latest round of revisions to Form PF made a stealthy arrival, with the SEC announcing in mid-February that it adopted the updates without an in-person vote. As the. ....

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Curiouser and Curiouser: Statement on Amendments to Form PF to Amend Reporting Requirements for All Filers and Large Hedge Fund Advisers

Curiouser and Curiouser: Statement on Amendments to Form PF to Amend Reporting Requirements for All Filers and Large Hedge Fund Advisers
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Statement on Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers

Statement on Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers Commissioner Mark T. Uyeda February 8, 2024 ....

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