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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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