More than just the facts, Flash Reports provide context for what’s currently happening in the industry and translate that into what it means for your business.
On January 11, 2023, the SEC updated its Frequently Asked Questions page for the New Marketing Rule. There are now three questions and three answers.Read More
The Department of Labor (DOL) voluntarily dismissed its appeal of the district court decision that struck down the DOL’s fiduciary reinterpretation of fiduciary status for advisers making rollover recommendations to retirement investors.
On May 11, 2023, the SEC’s Division of Exams (“EXAMS”) published a Risk Alert to remind registrants of the discontinuation of U.S. Dollar LIBOR after June 30, 2023. The Risk Alert also discussed firms’ practices to manage the transition.
On May 3, 2023, the U.S. Securities and Exchange Commission (SEC) announced the adoption of amendments to the Form PF. This rule will impact all Form PF Large filers and all Form PF filers who manage private equity (PE) funds.
On Wednesday, March 15, the SEC held an opening meeting and announced three proposed rules touching on cybersecurity and also reopened its proposed Cybersecurity Risk Management Rule for more public commentary