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

Summaries of recent legal developments with respect to

  • SEC’s 2023 Examination Priorities
  • Collapse of Silicon Valley Bank: Resources
  • Enforcement Actions Against Investment Advisers
  • SEC Adoption of Amendments to Proxy Rules Governing Proxy Voting Advice 
  • Penalties for Violations of Electronic Communications Rules
  • Proposed New Rules Regarding Service Provider Due Diligence and Monitoring
  • SEC Examinations Focused on the New Investment Adviser Marketing Rule 
  • SEC Releases Guidance Affecting Certain Pre-IPO Liquidity Products
  • Proposed New Rules Regarding ESG Disclosures
  • SEC Adoption of Rules to Require Electronic Filings
  • OFAC Sanctions and Compliance
  • Targeted Exam Sweep Regarding Options Accounts
  • Risk Alert Regarding Identity Theft Prevention Programs
  • Guidance on Advertising Gross and Net Performance
  • Enforcement Action Against Virtual Currency Exchange
  • AML Best Practices for Private Fund Managers
  • CFTC Swap Clearing Requirements 
  • SEC Proposal to Redesignate Custody Rule as Safeguarding Rule
  • SEC Release of Three Simultaneous Rule Proposals Related to Cybersecurity
  • SEC Rulemaking Calendar 2023
  • Rules Regarding Private Fund Managers and Amended Annual Review Requirements
  • Amended PF Requirements for Private Fund Managers
  • Changes to Regulations 13D and 13G Beneficial Ownership Reporting
  • Final Rule Regarding Definition of Dealer
  • SEC Fiscal Year 2022 Enforcement Results
  • CFTC Fiscal Year 2022 Enforcement Results
  • Insider Trading Plans and Related Disclosures
  • Management Fee Offsets and Step-downs
  • QPAM Exemption for Managing ERISA Assets 
  • 2022 Tax Developments and Future Considerations

Checklists of compliance considerations 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.