Events listed in Investment Advisers Act of 1940
SEC Division of Examinations Announces 2024 Priorities
ID 25338
The U.S. Securities and Exchange Commission’s Division of Examinations has published its key priorities regarding the examination of SEC supervised firms in 2024. Although the document covers a large range of entities under the SEC’s remit, the following text provides a brief summary of priorities concerning investment advisers, investment companies, and broker-dealers only. For examination priorities regarding other firms such as securities exchanges or ...
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance ...
ID 24945
As previously announced by the U.S. Securities and Exchange Commission (SEC) on its website (EventID 22812), the Commission has now published its final rules in relation to obligations of private fund advisers under the Investment Advisers Act of 1940 in the Federal Register (FR). The final rules follow a corresponding consultation in February 2022 where the SEC proposed various amendments and additions to existing ...
SEC Enhances the Regulation of Private Fund Advisers
ID 24702
Following a corresponding consultation in February 2022 (please see EventID 14399 in this context), the U.S. Securities and Exchange Commission has published a final version of its upcoming new rules under the Investment Advisers Act of 1940 which aim to enhance the protection of private funds investors. #### Background Last year the Commission launched noted consultation in which it proposed various amendments and additions ...
SEC Proposes Reforms Relating to Investment Advisers Operating Exclusively Through ...
ID 24394
On July 26, 2023, the U.S. Securities and Exchange Commission (SEC) has published a press statement to announce an upcoming consultation in connection with the registration eligibility of investment advisers operating exclusively via the internet. Specifically, the SEC seeks to modernize Rule § 275.203A-2 – Exemptions from prohibition on Commission registration to enhance certain protective measures and to remove an exception that is currently ...
SEC Adopts Amendments to Enhance Private Fund Reporting
ID 23090
Following a corresponding consultation in February 2022, the U.S. Securities and Exchange Commission, SEC, has now published its final rule amendments to Statutory Instruments 17 CFR Parts 275 and 279 both relating to regulations under the Investment Advisers Act of 1940 to enhance the reporting requirements of large advisers to hedge funds and all fund advisers to private equity funds. The objective of the ...
Cybersecurity Risk Management for Investment Advisers, Registered Investment ...
ID 22407
Following a corresponding announcement earlier this month, the U.S. Securities and Exchange Commission, SEC, has now published in the Federal Register its notice on the re-opening of the comment period on its consultation concerning the management and disclosure of cyber security risks and incidents of investment funds and their managers (advisers). To recall, in its corresponding consultation the Commission sought to enhance the awareness ...
SEC Reopens Comment Period for Proposed Cybersecurity Risk Management Rules and ...
ID 22287
The U.S. Securities and Exchange Commission, SEC, has published a press release to announce the re-opening of the comment period on its consultation concerning the management and disclosure of cyber security risks and incidents of investment funds and their managers (advisers). To recall, in its corresponding consultation the Commission sought to enhance the awareness of and the management of cyber security risks and to ...
SEC Division of Examinations Announces 2023 Priorities
ID 21758
The U.S. Securities and Exchange Commission’s Division of Examinations has published a document setting out its key priorities regarding the examination of SEC supervised firms for 2023. Thereafter, the Division will focus on the following key issues, among others: Examination of investment funds with an ESG focus: In order to ensure compliance with related regulations and to ensure the avoidance of greenwashing, the Division ...
Small Business Advisory Committee to Host Meeting to Discuss Alternatives to ...
ID 21669
The U.S. Securities and Exchange Commission, SEC, has published a press statement to inform that its Small Business Advisory Committee will hold a meeting on February 7, 2023 to discuss, among other things, possible impacts of the Commission’s proposed enhancements to the disclosure requirements and audit obligations of private funds (please see EventID 14399 in this context). The Committee will further evaluate funding alternatives ...