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Across topics and issues, borders and industries, we have the thought leadership you need to stay ahead of changes in the law.
News
09 September 2024
It’s election season in America – and for investment advisers (registered or exempt), that means a renewed focus on Rule 206(4)-5, the political contributions rule, commonly...
Insights and Analysis
10 June 2024
In a rebuke to the U.S. Securities and Exchange Commission (the SEC), the U.S. Court of Appeals for the Fifth Circuit on Wednesday, June 5, 2024 vacated in full the set of new SEC rules for ...
News
14 November 2023
Effective January 1, 2024, new Treasury regulations under the Corporate Transparency Act (CTA) will require many U.S. entities and foreign entities doing business in the United States to...
Insights and Analysis
26 October 2023
For over a decade, the Division of Examinations within the U.S. Securities and Exchange Commission (the SEC) has released its annual examination priorities in the first quarter of each new...
News
12 September 2023
The United States (U.S.) Securities and Exchange Commission (SEC) has passed new rules imposing new requirements and obligations on the private fund industry. Whilst the rules are...
News
07 September 2023
The U.S. Securities and Exchange Commission (SEC) adopted final private fund rules under the U.S. Investment Advisers Act of 1940 (the Advisers Act) on August 23, 2023. Although the final...
Insights and Analysis
18 August 2023
On August 17, 2023, the U.S. Small Business Administration (SBA) issued significant new policy guidance regarding the Small Business Investment Companies (SBIC) program.
News
17 August 2023
The U.S. Securities and Exchange Commission (the SEC) proposed new rules for broker-dealers and registered investment advisers (RIAs) on Wednesday, July 26, 2023 that are intended to...
News
24 July 2023
The U.S. Small Business Administration (SBA) finalized wide-ranging revisions to the regulations governing the small business investment company (SBIC) program on Thursday, July 13, 2023....
