News & Insights: Private Fund

SEC Revises Marketing FAQ to Address Private Fund Net Performance

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.

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Podcast: New SEC Private Funds Rules – What Is Happening and What You Need to Know

Podcast: New SEC Private Funds Rules- On August 23, the SEC finalized the Private Funds Rules, which aim to enhance the protections afforded to investors in private funds that are managed by private fund advisers.

SEC Expected to Finalize Cybersecurity Rule Spring 2023

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.

SEC Revises Marketing FAQ to Address Private Fund Net Performance

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.

Private Fund Examination Requests and Record-Keeping

EXAMS published the second ever risk alert aimed at private funds, which encouraged strengthening compliance programs and disclosed practices.

2022 SEC Examination Priorities ESG, Private Funds, Data Security, and Digital Assets

On March 30, 2022, the Division of Examinations (the Division) published its 2022 Examination Priorities.  These annual priorities highlight practices, products, and services that present heightened risks to investors or U.S capital markets.

SEC Proposes Reforms for Private Funds

The SEC proposed reforms for Private Funds to enhance the regulation of private fund advisers and protect investors in private funds by increasing transparency.

SEC Continues Focus on Private Fund Advisers

As private fund advisers continue to play a larger role in the financial markets, the Division of Examinations published a risk alert of their observations

Firm Fined for Violating Custody Rule and Miscalculating Performance Fees

The U.S. SEC charged a private fund adviser with violating sections of the Advisers Act governing performance fee calculations.

Private fund adviser ordered to pay over $1 million after violating partnership agreement

The SEC sanctioned a registered investment adviser for violating antifraud provisions of the Advisers Act. The violations stemmed from the adviser overcharging limited partners of a private equity fund it managed.

OCIE: Private Fund Risk Alert

The OICE, released a Risk Alert that outlines recently observed compliance issues among private fund advisers. Over a third of SEC-registered advisers manage private funds, marking them as a special focus for OCIE.

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