Significant Investment Management Developments and Model Annual Compliance Checklists for Registered Investment Advisors, Exempt Reporting Advisors, Commodity Pool Operators, Commodity Trading Advisors and Private Money Managers – Commodities / Derivatives / Exchanges


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Lowenstein Sandler’s Investment Management Group is pleased to provide the summaries and checklists described below.

Summaries of recent legislative and regulatory developments concerning:

  • 2022 SEC Exam Priorities
  • Proposed Changes to Form PF Requirements
  • Proposed new rules for private fund advisers and requirement to document annual reviews
  • Proposal for new cybersecurity risk management rules
  • Draft Rules 13D and 13G Beneficial Ownership Report
  • SEC Comments on Private Fund Advisor Reviews
  • Global Trade and National Security: Sanctions and Compliance
  • Speech by SEC Chairman Gensler on cybersecurity
  • 2021 tax developments and future considerations
  • CFTC FAQ regarding Commission Rule 4.27 and Form CPO-PQR
  • NFA Changes to the Definition of Branch
  • Responsibilities of CPOs or CTAs for Third-Party Supervision
  • NFA Rule 1101 and Compliance Rule 2-36(d)
  • Common Flaws in NFA Exams
  • Testimonial from CFTC Chairman Behnam on Digital Assets
  • DOL Trust Board Rule
  • DOL releases proposed rules regarding ESG investing and proxy voting
  • SEC accuses App Annie and its founder of securities fraud
  • SEC Case Alleges Insider Trading – Sympathy Trading
  • SEC raises dollar threshold for qualified clients
  • Privacy Updates

Compliance Considerations Checklists 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 on the subject. Specialist advice should be sought regarding your particular situation.

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