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Rules & Regulations
Paul Atkins' SEC reminds private funds that good fee and expense hygiene is table stakes.
'Even if we didn’t have AI to worry about or even if cybersecurity were suddenly to disappear you still must get that basic work done,' ...
This is the SEC's new proposed rule permitting electronic delivery of key documents, such as a firm's Form ADV brochure and Form CRS
Provides for compensation to the investment adviser on the basis of a share of the capital gains
This is the SEC's final rule change to N-PORT reporting rules
This is the Advisers Act's books and records rule
This is the amended Reg S-P rule regarding privacy notices
These are new privacy procedures dictated by the SEC's 2024 revisions to Reg S-P
This is an Reg S-P rule revised by the SEC in 2024
This is the Investment Company Act's books and records rule, as amended in 2023