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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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Need to Know: SEC s New Private Fund Rules | Goulston & Storrs PC

The Securities and Exchange Commission (“SEC”) recently adopted sweeping new rules (the “Rules”) under the Investment Advisers Act of 1940 (the “Advisers Act”) that include significant.

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Navigating the SEC s New Private Fund Rules: Challenges Ahead for Sponsors and Advisers

The Securities and Exchange Commission (SEC) recently adopted new rules (Private Fund Rules) under the Investment Advisers Act of 1940, as amended…

Applicable to all private fund advisersUs courtFund advisersExchange commissionPortfolio holdings informationPrivate fund rulesInvestment advisers actAdvisers actFifth circuitPrivate fundFederal registerAdviser led secondariesRestricted activitiesPreferential treatment rulesWritten annual review ruleRestricted activities rule

SEC Adopts Sweeping New Rules for Private Fund Advisers

On August 23, 2023, the Securities and Exchange Commission (the “SEC”) adopted highly anticipated new rules under the Investment Advisers Act of 1940…

Fund audit ruleExchange commissionInvestment advisers actFinal rulesOpen meetingFinal ruleAdopting releaseProposed rulesCustody ruleRegulations xPrivate fund auditProposed rulePreferential treatment ruleRestricted activities ruleRestricted activitiesPreferential treatment rules

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