How are investors impacted by the modernization of the Beneficial Ownership reporting in the US?
The modernization of the Beneficial Ownership reporting has been a long-discussed topic by the Securities and Exchange Commission (“SEC”) in the U.S.
Operations Incorporating climate/ESG disclosures into your investment operations
As the first wave of UK large asset managers and asset owners publish their FCA mandated ESG SDR entity and product reports, lessons can be learnt from similar exercises in the EU.
Composites Insights Series: SEC Marketing Rule: Best practices for simplifying and automating composites and GIPS® reports
Navigating the intricate landscape of investment management demands a delicate balance between regulatory compliance, operational efficiency, and delivering accurate and meaningful data.
Composites Insights Series: SEC Marketing Rule: Do you switch to model fees?
Under GIPS® standards, investment advisors can include non-fee-paying accounts in their performance composites without having to apply a model fee.
Behind the Curtain – SEC’s Risk-Based Approach to Examinations
The SEC Division of Examinations (“EXAMS”) issued a Risk Alert describing EXAMS’ risk-based approach for selecting registered investment advisers to examine and determining the scope of examinations.
Takeaways from the SEC’s New Private Fund Adviser Rules – Build and Plan for Successful Implementation
The private fund regulatory landscape just got more complex with the August 23 SEC adoption of these long-awaited private fund rules, which were first proposed 18 months ago in the face of industry pushback.
Composites Insights Series: SEC Marketing Rule: How does it affect composites?
The SEC Marketing Rule presents many opportunities for firms to streamline performance and composite reporting.
Navigating the Next Market Downturn at TSAM London
Now that the TSAM – the Summit for Asset Management in London – is over, it is time to look back and delve into the subject of market downturns
As pressures mount, SEC finalizing its rule for companies’ climate-related disclosures
The SEC’s forthcoming Final Rule, requiring climate-related disclosures by US companies, is placed here in the context of recent global climate developments.
HEADS UP: SEC Division of Examinations Identifies Gaps and Signals Need for Main Office Policies and Procedures to be Applied at Branch Office Locations
The SEC Division of Examinations issued a Risk Alert on April 26, 2023, regarding weaknesses observed at branch office locations of investment advisers and broker dealers.
The SEC adopted changes to Form PF impacting large hedge fund advisers and all PE advisers.
The SEC has adopted a final rule amending Form PF, the regulatory filing requirement mandating private fund advisers report regulatory AUM to the Financial Stability Oversight Council
Incident Reporting on the SEC’s Radar as Regulator Seeks to Mandate a Federal Breach Notification Standard
A steady increase in the threat data breaches pose to individual investors has spurred the SEC to revisit the issue of safeguarding customer information.