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Lyric Gupta

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Articles

SEC Risk Alert on Examinations: Who Gets Examined and Scope of Exams

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By Robin Bergen, Amber Phillips, Lyric Gupta
| LexBlog
On September 6th, the SEC Division of Examinations (the “Division”) published a risk alert with more detail on how it selects investment advisers for examinations and its process for determining the specific risk areas and issues to address in examination. It noted that it leverages technology to conduct bulk data collection and analysis at both an industry and adviser level, as well as utilizing disclosure documents such as Form ADV and Form PF.
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Fund Rules Dampened, Not Defanged: SEC’s final private fund rules drop proposed bans on certain activities, but still have bite.

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By Robin Bergen, Maurice R. Gindi, Emily Alfano, Lyric Gupta
| LexBlog
On August 23, 2023, the U.S. Securities and Exchange Commission (“SEC”) adopted new rules under the Investment Advisers Act of 1940 (the “Advisers Act”) that will significantly impact private fund advisers (the “Final Rules”).
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SEC Risk Alert Identifies Key Compliance Issues for New (and Not New) Registered Advisers

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By Robin Bergen, Amber Phillips, Lyric Gupta
| LexBlog
On March 27th, the SEC Division of Examinations (the “Division”) published a risk alert affirming its long-standing interest in conducting reasonably prompt examinations of newly registered advisers. The risk alert provides an examination ‘how to’ guide for new advisers, describing the materials those advisers should expect to provide to staff in an examination.
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