Archive for September, 2023
Results
SEC Adopts New Rules for Private Fund Advisers
On August 23, 2023, the Securities Exchange Commission (the “SEC”) adopted significant new rules for private fund advisers (the “Rules”)…
SEC Enforcement Actions for Custody Rule Violations
On September 5, 2023, the Securities Exchange Commission (the “SEC”) charged five advisory firms with violations of Rule 206(4)-2 (the…