- SEC Settles with Five Investment Advisers for Marketing Rule ...🔍
- U.S. SEC adopts private fund reforms🔍
- SEC Adopts Sweeping Private Fund Adviser Reforms🔍
- Investment Management & Funds Regulatory Update🔍
- Executive Compensation – Page 5 – Cooley PubCo🔍
- United States🔍
- The SEC's Marketing Rule🔍
- SEC Adopts Money Market Fund Reforms and Changes to ...🔍
SEC Adopts Sweeping Pay for Performance…
SEC Settles with Five Investment Advisers for Marketing Rule ...
[4] In September 2023, nine investment advisers agreed to settle charges of Marketing Rule violations with the SEC and pay $850,000 in combined ...
U.S. SEC adopts private fund reforms - IQ-EQ
On August 23, 2023, the US Securities and Exchange Commission (SEC) adopted the long-awaited private fund reforms.
SEC Adopts Sweeping Private Fund Adviser Reforms | Insights
On Aug. 23, 2023, the U.S. Securities and Exchange Commission (SEC), in a 3-2 vote, adopted new rules under the Investment Advisers Act of ...
Investment Management & Funds Regulatory Update - Davis Polk
SEC adopts new rules and amendments that increase private fund adviser regulation ... In an August 23, 2023 release, the Securities and Exchange ...
Executive Compensation – Page 5 – Cooley PubCo
Corporate GovernanceExecutive CompensationSecurities · SEC adopts final pay-versus-performance disclosure rule [updated]. [This post revises and updates my ...
The (New) Marketing Rule: Perspectives on RIA Compliance, One ...
On September 11, 2023, the SEC announced charges against nine RIAs for advertising hypothetical performance to the general public on their ...
United States: The SEC's new Private Fund Adviser rules
On 23 August 2023, the SEC adopted the most significant regulation affecting private funds and their investors since the Dodd-Frank reforms over a decade ago.
The SEC's Marketing Rule: Open Issues and Looming Sweep Exams
In each case (whether deducting actual or model fees), the SEC stated in the Adopting Release that advisers must ensure that the performance ...
SEC Adopts Money Market Fund Reforms and Changes to ...
On July 12, 2023, the SEC issued a release (the “Release”) adopting rule and form amendments concerning money market funds under the 1940 Act.
SEC adopts sweeping new private fund adviser rules and ...
SEC adopts sweeping new private ... Diversity, Pay and Discrimination · Employee ... performance and net performance requirements of the Marketing Rule.
Deciphering the Overhauled SEC Rules for the Private Fund Industry
On August 23, 2023, the U.S. Securities and Exchange Commission (the “SEC”) by a 3-2 vote adopted final rules (the “Final Rules”) under the ...
advisory fees, similar fees or payments, and performance fees). ... from a regulator, responding to a sweep examination that is designed to ...
SEC Charges Nine Investment Advisers in Ongoing Marketing Rule ...
On September 9, 2024, the SEC announced settled charges against 9 RIAs for violating the Marketing Rule. The 9 RIAs agreed to pay $1240000 ...
SEC Sweep of RIAs: Market Hypothetical Performance With Due Care
The recently announced settled charges arise out of an ongoing sweep investigation of advisers' compliance with the Marketing Rule, an issue the ...
The Day Has Come: The SEC Adopts Private Fund Adviser Rules
Private equity and hedge fund sponsors will need to pay ... Provide investors with quarterly statements detailing information regarding private fund performance ...
VC funds swept up in SEC's new rules for private funds
Private Fund Adviser Reforms: Final Rule ; Require quarterly statements on fees and expenses, compensation and fund performance, SEC Registrants ...
SEC adopts rules impacting private funds and advisers
The SEC adopted sweeping reforms of regulations over investment advisers and the private funds they advise ... ‒ Performance information: For liquid funds ...
SEC News Roundup: Private Funds Rule Compliance Date Set ...
On August 23, 2023, the Commission adopted a package of new rules (the “Private Funds Rules”) for private fund advisers (“PFAs”) promulgated ...
SEC Enforcement Sweep Reaffirms Focus on Anti-Whistleblower ...
On September 9, 2024, the SEC announced settled enforcement actions against seven companies for violating the SEC's whistleblower rules.
Fifth Circuit Rules SEC Exceeded Its Authority in Adopting Private ...
On June 5, 2024, a three-judge panel in the U.S. Fifth Circuit Court of Appeals ruled that the Securities and Exchange Commission exceeded ...