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:
- SEC’s 2022 Examination Priorities
- Proposed Amendments to Form PF Requirements
- Proposed New Rules Applicable to Private Fund Advisers and Requirement to Document Annual Reviews
- Proposed New Cybersecurity Risk Management Rules
- Proposed Regulation 13D and 13G Beneficial Ownership Reporting
- SEC Observations from Examinations of Private Fund Advisers
- Global Trade & National Security: Sanctions and Compliance
- SEC Chairman Gensler Speech on Cybersecurity
- 2021 Tax Developments and Future Considerations
- CFTC FAQs Regarding Commission Regulation 4.27 and Form CPO-PQR
- NFA Amendments to Definition of Branch Office
- CPOs or CTAs Third Party Supervisory Responsibilities
- NFA Bylaw 1101 and Compliance Rule 2-36(d)
- Common Deficiencies in NFA Examinations
- CFTC Chairman Behnam Testimony on Digital Assets
- DOL’s Fiduciary Advice Rule
- DOL Issues Proposed Rules Addressing ESG Investing and Proxy Voting
- SEC Charges App Annie and its Founder with Securities Fraud
- SEC Case Alleges Insider Trading – Sympathy Trading
- SEC Raises the Dollar Threshold for Qualified Clients
- Privacy Updates
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.
