The SEC Division of Examinations issued a Risk Alert on April 26, 2023, regarding weaknesses observed at branch office locations of investment advisers and broker dealers. The Alert recommends firms consider...

Current Reporting for Large Hedge Fund Advisers and Quarterly Event Reporting for All Private Equity Fund Advisers

The most significant change is the addition of “event reporting” upon the occurrence of...

A steady increase in the threat that data breaches pose to individual investors has spurred the Securities and Exchange Commission to revisit the issue of safeguarding customer information.

Time is running out

With the upcoming deadline of the 4th November, 2022, the new SEC Marketing Rule requires firms to create composites around similarly managed portfolios for performance reference, even if...

At its March 14 open meeting, the SEC approved a proposal that while still mandating funds to use the SEC’s Form N-PORT to report liquidity classifications, commonly known as “buckets”, it would, among other...