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A US appeals court threw out the SEC’s private funds rule, handing a victory to the ever-expanding, nearly $27 trillion industry.
Time to adapt your compliance frameworks to address regulatory challenges.
Practical advice for compliance teams when completing essential reviews in adherence with the SEC’s Custody Rule.
Amendments to Form PF oblige advisers to private funds to give the SEC and FSOC more reporting details.
SEC chair pressed on the agency’s rule proposals in a hearing this week before the House Financial Services Committee.
New rules are directly affecting how sovereign wealth funds are structuring their investments and reducing the compliance burden.
Reforms bring several significant requirements applicable to private fund managers, including non-US based advisers and exempt reporting advisers.
The SEC charges five investment adviser firms for failing to meet requirements related to the safekeeping of client assets.