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

Summaries of recent legislative and regulatory developments with respect to

  • SEC’s 2022 Examination Priorities
  • Proposed Amendments to Form PF Requirements
  • Proposed New Rules Applicable to Private Fund Advisers and Requirement to Document Annual Reviews 
  • Proposed New Cybersecurity Risk Management Rules 
  • Proposed Regulation 13D and 13G Beneficial Ownership Reporting
  • SEC Observations from Examinations of Private Fund Advisers
  • Global Trade & National Security: Sanctions and Compliance
  • SEC Chairman Gensler Speech on Cybersecurity
  • 2021 Tax Developments and Future Considerations
  • CFTC FAQs Regarding Commission Regulation 4.27 and Form CPO-PQR
  • NFA Amendments to Definition of Branch Office
  • CPOs or CTAs Third Party Supervisory Responsibilities 
  • NFA Bylaw 1101 and Compliance Rule 2-36(d)
  • Common Deficiencies in NFA Examinations
  • CFTC Chairman Behnam Testimony on Digital Assets
  • DOL’s Fiduciary Advice Rule 
  • DOL Issues Proposed Rules Addressing ESG Investing and Proxy Voting
  • SEC Charges App Annie and its Founder with Securities Fraud
  • SEC Case Alleges Insider Trading – Sympathy Trading
  • SEC Raises the Dollar Threshold for Qualified Clients
  • Privacy Updates

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.