Lowenstein Sandler’s Investment Management Group is pleased to provide you with the summaries and checklists described below.
Summaries of recent legal developments with respect to:
- SEC’s 2023 Examination Priorities
- Collapse of Silicon Valley Bank: Resources
- Enforcement Actions Against Investment Advisers
- SEC Adoption of Amendments to Proxy Rules Governing Proxy Voting Advice
- Penalties for Violations of Electronic Communications Rules
- Proposed New Rules Regarding Service Provider Due Diligence and Monitoring
- SEC Examinations Focused on the New Investment Adviser Marketing Rule
- SEC Releases Guidance Affecting Certain Pre-IPO Liquidity Products
- Proposed New Rules Regarding ESG Disclosures
- SEC Adoption of Rules to Require Electronic Filings
- OFAC Sanctions and Compliance
- Targeted Exam Sweep Regarding Options Accounts
- Risk Alert Regarding Identity Theft Prevention Programs
- Guidance on Advertising Gross and Net Performance
- Enforcement Action Against Virtual Currency Exchange
- AML Best Practices for Private Fund Managers
- CFTC Swap Clearing Requirements
- SEC Proposal to Redesignate Custody Rule as Safeguarding Rule
- SEC Release of Three Simultaneous Rule Proposals Related to Cybersecurity
- SEC Rulemaking Calendar 2023
- Rules Regarding Private Fund Managers and Amended Annual Review Requirements
- Amended PF Requirements for Private Fund Managers
- Changes to Regulations 13D and 13G Beneficial Ownership Reporting
- Final Rule Regarding Definition of Dealer
- SEC Fiscal Year 2022 Enforcement Results
- CFTC Fiscal Year 2022 Enforcement Results
- Insider Trading Plans and Related Disclosures
- Management Fee Offsets and Step-downs
- QPAM Exemption for Managing ERISA Assets
- 2022 Tax Developments and Future Considerations
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.
