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Multiple sources have told affiliate title RCW that the SEC has launched its long-anticipated Division of Examinations sweep tied to the IA marketing rule, and we’ve gotten a copy of what’s described as the sweep exam letter.
The FTC’s proposed changes to pre-merger filing requirements would mandate the disclosure of certain LPs and may add significant costs to returns.
The proposed rule aimed at the oversight of third-party service providers now has a timetable for final action of April 2024.
KKR’s global CCO Bruce Karpati and CISO David Stern talk about building a successful relationship between compliance and tech, speaking the regulator's language, and what and who not to rely on when building and maintaining your cybersecurity defenses.
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You are advised to ensure that your disclosures around use of testimonials and endorsements are sound, according to a new risk alert from the SEC’s Division of Examinations.
Gloom settles in on both sides of the debate over SEC reforms.
A visual collage illustration noting AI and ChatGPT
Managers’ adoption challenges include leaks of material non-public information and archiving.
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The commission has re-opened the comment period on the rule for advisers, but firms can act now to bolster cyber risk management.
Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
GPs will soon have to report on sponsor-initiated secondaries deals within 60 days from the end of each quarter, after the US regulator voted through the proposals Wednesday.
Regulatory and LP scrutiny of private funds’ cybersecurity management is only increasing, but what are today’s threats and how are firms responding?
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