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Rules
FinCEN Issues New AML Rule
On August 28, 2024, the Financial Crimes Enforcement Network (FinCEN) finalized a rule under the...
Rules
Is Your Venture Capital Exemption Safe?
Overview Venture capital managers are expanding investments and strategies to meet ever-changing investor objectives, including...
Rules
SEC Adopts Cybersecurity Amendments to Enhance Protection of Customer Information
On May 16, 2024, the SEC finalized the adoption of cybersecurity amendments to Regulation S-P,...
Rules
Final Private Funds Rules Reference Guide
On August 23, 2023, the Securities and Exchange Commission (“SEC”) adopted multiple new rules that...
Rules
SEC Adopts Amendments to Enhance Private Fund Reporting
Background On May 3, 2023, the Securities and Exchange Commission (SEC) adopted amendments to Form...
Rules
SEC Proposes New ESG Rule Impacting Investment Advisers
On May 25, 2022, the SEC proposed new rules that would require both SEC-registered investment...
Rules
Goodbye Advertising and Solicitation Rules, Hello Marketing Rule
Ought we really to be spending enforcement resources to ensure that radio personalities keep mum...