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Articles by Jonathan Labib
SEC Announces 2024 Examination Priorities for Investment Advisers to Private Funds | JD Supra
On October 16, 2023, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) announced its 2024 examination priorities, which it publishes annually.[1] The Division prioritizes examinations of certain practices, products, and services that it believes present potentially heightened risks to investors or the integrity of the U.S. capital markets.
SEC Announces 2024 Examination Priorities for Investment Advisers to Private Funds
October 18, 2023 Client Alert By: Richard G. Madris, Brayton Dresser, Jonathan A. Labib On October 16, 2023, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) announced its 2024 examination priorities, which it publishes annually.[1] The Division prioritizes examinations of certain practices, products, and services that it believes present potentially heightened risks to investors or the integrity of the U.S. capital markets.
SEC Adopts Private Fund Adviser Rules | JD Supra
On August 23, 2023, the U.S. Securities and Exchange Commission (SEC) adopted new rules and amendments under the U.S. Investment Advisers Act of 1940 (Advisers Act) to enhance the regulation of private fund advisers.[i] Overview: The new rules require private fund advisers registered with the SEC to: Provide investors with quarterly statements detailing information regarding private fund performance, fees, and expenses; Obtain an annual audit for each private fund; and Obtain a fairness...
SEC Division of Examinations Announces its 2021 Examination Priorities and Fiscal Year 2020 Results | JD Supra
On March 3, 2021, the Securities and Exchange Commission’s (the “Commission”) Division of Examinations (the “Division”), formerly known as the Office of Compliance Inspections and Examinations, announced its 2021 examination priorities, its ninth annual rundown of areas of potential risk to investors and the U.S. capital markets.[1] While the Division continues to focus its review on many of the same risk areas as in prior years, including an emphasis on investor protection through...
SEC Identifies Top 6 Investment Advisory Fee and Expense Compliance Issues for Investment Advisers | JD Supra
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