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Mid-Year Enforcement Update: SEC’s Continued Focus on Private Funds in 2024
The National Law Review· 5 days agoAs we reach the midpoint of 2024, the SEC has maintained its rigorous enforcement stance on the...
Department of Labor Releases New ERISA Fiduciary Rule | JD Supra
JD Supra· 5 days agoAdditionally, the DOL released final amendments to several prohibited transaction class exemptions (PTEs) available to investment advice fiduciaries, which, together with ...
Hedge Start: What Key Exemptions Apply to Hedge Funds?
The National Law Review· 7 days agoWe have separately discussed the common exemptions from registration of a fund manager with the...
JD Supra: Reporting Requirements under the Corporate Transparency Act
JD Supra· 2 days agoThe CTA was enacted to counter, among other things, money laundering and financing of illegal activity by making it more difficult for bad actors to...
Make Sure Your Retirement Advisor Has The Training And Experience To Help You
Forbes· 5 days agoNowadays, you can find many people who call themselves “financial planners” or “retirement...
Initial Form N-PX Filing Deadline for Institutional Investment Managers Approaching | JD Supra
JD Supra· 7 days agoInvestment managers required to file Form N-PX pursuant to Rule 14Ad-1 of the Securities Exchange Act of 1934, as amended, will face their initial Form N-PX filing deadline ...
Financial Markets and Funds Quick Take | Issue 27
The National Law Review· 5 days agoKatten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets...
Financial Markets and Funds Quick Take | Issue 27 | JD Supra
JD Supra· 2 days agoKatten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial...
SEC Adopts Regulation S-P Amendments to Enhance Protection of Customer Information | JD Supra
JD Supra· 5 days agoRegulation S-P applies to broker-dealers (including funding portals), investment companies, registered investment advisers and transfer ...
Blockchain+ Bi-Weekly: Week of June 13, 2024
The National Law Review· 6 days agoThe bill would have repealed the SEC’s accounting guidance requiring SEC-registered companies to treat digital assets held on behalf of customers as...