Private Markets Quarterly Update 2021 Q4

Publish Date




  • Compliance

We hope this newsletter finds you safe and well. In the latest edition of our Private Markets Quarterly Update, we cover:

  • Recent SEC Public Remarks Signal Desire for Comprehensive Reevaluation of Private Markets Regulation
  • Best Practices for Building and Implementing a Private Markets ERA or RIA Compliance Program
  • Insider Trading Focus: Multiple Recent SEC Charges Present Cautionary Lessons for Private Markets Fund Managers
  • SEC’s Novel Shadow Trading Theory – Potentially Significant Ramifications for Private Markets Fund Managers
  • SEC’s Recent Sweep Enquiries Into Electronic Communications – Key Takeaways for Private Markets Fund Managers
  • Custody Rule Focus: Noteworthy Recent Trends in SEC Examinations & Enforcement Actions
  • Other Noteworthy Recent SEC Enforcement Actions
  • SEC’s New Marketing Rule: An Update
  • The UK National Security and Investment Act of 2021 – Ramifications for the Global Private Equity Industry
  • Real Estate: Compliance Challenges for Open-End Real Estate Vehicles
  • Effectively Managing Operational Challenges in Performance Calculation and Reporting – Practical Suggestions
  • ESG Update: UNPRI’s Next Reporting Period Delayed Until Early 2023

Download the newsletter here

How we help

ACA has a number of solutions to help private markets firms build effective compliance programs.

Please reach out to your ACA Consultant or contact the Private Markets Team if you have any questions about the topics in this newsletter, or want to find out how ACA can help your firm meet their compliance obligations.