Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.
On August 23, 2023, a divided SEC voted to adopt enhanced regulations of private fund advisers. These included two rules that all investment advisers managing private funds must follow: the Preferential Treatment Rule and the Restricted Activities Rule.
Read MoreOn December 20, 2018, the SEC’s OCIE announced its 2019 examination priorities. Key areas include cybersecurity, anti-money laundering (“AML”) programs, retail investors (particularly seniors), and entities providing critical market infrastructure services.