Lowenstein Sandler’s Investment Management Group is pleased to provide you with the summaries and checklists described below.
Summaries of recent legislative and regulatory developments with respect to:
- The SEC’s Examination Priorities for 2021
- The SEC’s Focus on Digital Asset Securities
- The SEC’s New Marketing Rule
- The OCIE’s Compliance Program Deficiencies Risk Alert
- New CFIUS Review Requirements
- 2020 Tax Developments
- The SEC Division of Enforcement’s 2020 Results
- The SEC’s Proposed Conditional Broker Exemption for Finders
- New York’s Mandatory Registration for Investment Adviser Representatives
- The SEC’s Updated Regulatory Framework for Fund of Funds Arrangements
- Expanded Accredited Investor and Qualified Institutional Buyer Definitions
- The Delaware Supreme Court’s Decision in Murfey v. WHC Ventures, LLC re: Rights to Books and Records
- The SEC’s Proposed Amendment of Form 13F Reporting Thresholds
- The Fiduciary Rule Prohibited Transaction Class Exemption
- The SEC’s and FINRA’s Reg. BI and Form CRS Guidance
- Form CRS Drafting Guide and Template
- The SEC’s Order re: Ares Management with Respect to Alleged Compliance Failures
- The Second Circuit’s Decision in Packer v. Raging Capital Management re: Beneficial Ownership
- Bureau of Economic Analysis and Treasury International Capital Filing Obligations
- Privacy and Cybersecurity Updates
- Government Sanctions Enforcement Action
Checklists of compliance considerations for:
- Private Investment Funds and Their Advisers
- Registered Investment Advisers and Exempt Reporting Advisers
- Commodity Pool Operators and Commodity Trading Advisors
Read the full alert here.
