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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.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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