Article
04 May 2026
SEC, CFTC Propose Streamlined Form PF
AUTHORS CONTENT
Article
13 Apr 2026
SEC Enforcement Action Acts As Valuation Processes Reminder For Credit Funds
Article
07 Apr 2026
SEC Charges Investment Adviser For Alleged Conflicts Disclosure Failures
Article
05 Feb 2026
SEC Targets Investment Advisory Agreements In Recent Enforcement Settlement
Article
29 Jan 2026
Looking Ahead: Asset Manager M&A In 2026
Article
10 Sep 2024
Past Political Contributions Matter: Recent SEC Settlement Highlights The "Look-Back" Provision And Strict Liability Nature Of The SEC's Pay-To-Play Rule
Article
11 Jul 2024
SEC Political Contributions Rule Refresher
Article
01 Jul 2024
Private Fund Managers Alert: New Filing Deadlines And Current Regulatory Focus Areas
Article
01 Jun 2024
SEC Marketing Rule Update: Risk Alert Pinpoints Examination Findings To Date
Article
15 Mar 2024
Marketing Rule FAQ – Impact Of Subscription Lines Of Credit On Presentation Of Net IRRs
Article
03 Nov 2023
SEC Division Of Examinations Releases 2024 Examination Priorities – What Private Fund Managers Should Know
Article
27 Jun 2023
SEC Marketing Rule Update: Additional Focus Areas In Examinations
Article
23 Jun 2023
SEC Form PF Reporting Changes Effective Dec. 11, 2023, And June 11, 2024
Article
20 Jan 2023
The SEC's Staff Issues A New Marketing Rule FAQ On Net Performance Requirements
Article
23 Nov 2022
SEC Proposes Service Provider Oversight Regime For Investment Advisers
Article
05 Oct 2022
SEC Custody Rule Update: Takeaways From Recent Enforcement
Article
05 Oct 2022
SEC Marketing Rule Update: What Private Fund Advisers Should Be Thinking About As The November 4 Compliance Date Approaches
Article
05 Oct 2022
SEC Pay-To-Play Rule Update: Recent SEC Enforcement Activity And What It Means For The November Midterms