January 2, 2024 FinCEN’s New Rule on Beneficial Ownership Information Reporting Requirements: Application to Investment Advisers and Related Entities November 8, 2023 SEC Adopts Gross Short Position and Activity Reporting by Institutional Investment Managers October 18, 2023 SEC Adopts Amendments to Regulation 13D-G October 3, 2023 SEC Proposes Improvements to EDGAR Filer Access and Account Management October 3, 2023 SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers September 18, 2023 Compliance Dates for Final Rules Regarding the Regulation of Private Fund Advisers September 11, 2023 SEC Charges FinTech Investment Adviser with First Violation of the Marketing Rule and Additional Compliance Violations August 25, 2023 The SEC Adopts Final Rules Regarding the Regulation of Private Fund Advisers August 16, 2023 SEC Enforcement of Off-Channel Communications Continues – New Series of Firms Charged with Penalties Totaling $289 Million January 4, 2023 Memo to Clients 2023 – Annual Reminders February 4, 2022 Memo to Clients 2022 – Annual Reminders January 21, 2021 ESG Spotlight Series: Sustainable Finance Disclosures Regulation (SFDR): Applicability for U.S. Managers March 23, 2020 CFTC Provides No-Action Relief for CPOs in Response to COVID-19 April 5, 2019 New Swaps Proficiency Requirements for Associated Persons of CPOs and CTAs February 26, 2019 NFA Information Systems Security Program and CPO Internal Controls System Requirements Load more
