SEC Private Fund Adviser Rules Resources

Regulatory change is here for Private Fund Advisers 

The U.S. Securities and Exchange Commission (SEC) has now finalized five new rules as well as amendments to Rules 204-2 and 206(4)-7 under the Investment Advisers Act of 1940 (the Advisers Act), known as the Private Fund Adviser Rules (IA-5955). With a publish date in the Federal Register of September 14, 2023, the clock is ticking for private fund managers to comply.

Our team can help you to adapt to the evolving regulatory landscape while considering the complexity of your firm’s unique compliance requirements.

To help you get started, we've pulled together a few resources and insights you may find valuable as you navigate the path forward. 

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Webcast Series: Demystifying the Private Fund Adviser Rules

Demystifying the Private Fund Adviser Rules

The Private Fund Adviser Rules (IA-5955) was adopted on August 23, 2023 after 18 months of discussions and changes to the proposed rules and amendments. The Final Rules are arguably the biggest regulatory development for the industry since the Dodd-Frank Act, and will impact both SEC-registered and unregistered private fund managers.

Closing out at 660 pages, the Final Rules place a weighty burden on compliance professionals to decipher the language and determine next steps for compliance.

This webcast uncovered what these Rules will mean for your firm and provide actionable steps to prepare for the pending compliance date

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Private Fund Adviser Rules Deep Dive - Quarterly Investor Reporting

This webcast provides a deep analysis into the new requirements for quarterly investor reporting, how it impacts firms, and provides actionable steps for compliance with these new requirements.

What you will learn:

  • Timing of Quarterly Statements
  • What is required to be included in the Quarterly Statement
  • Disclosure requirements for fees and expenses
  • Record keeping and delivery requirements
  • Considerations for the SEC Marketing Rule

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Private Fund Adviser Rules Deep Dive - Restricted Activities and Limitations to Preferential Treatment

This webcast focuses on restricted activities and limitations to preferential treatment imposed by the rule and provide actionable steps to prepare for the pending compliance date.

Discussion topics include: 

  • The scope, specific requirements, and practical implications of the Restricted Activities and Preferential Treatment rules
  • Ways that advisers can comply with the new rules
  • Likely implications for relationships between managers and limited partners

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Private Fund Adviser Rules Deep Dive - Audit Rule, Adviser-Led Secondaries, & Documenting of Annual Compliance Program Reviews

This webcast breaks down the Audit Rule, adviser-led secondaries, and the new requirements for the annual compliance program review and provide actionable steps to prepare for the pending compliance date.

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Roadmap and Solutions to Help Navigate the New Private Fund Adviser Rules

This insightful webcast walks you through steps to prepare for the new rules and introduces our unique end-to-end offering designed to empower advisers to effectively and efficiently implement the policies, procedures, technology, and managed services required by these complex and time-consuming rules.

During this webcast, we outline key requirements, flag important deadlines and milestones, provide a roadmap to delivery, and highlight the key features of our latest offerings, which — uniquely — provide a comprehensive solution to address all aspects of the new Private Fund Adviser Rules.

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Tracking the Impact of the Private Fund Adviser Rules

Benchmarking Insights

Tracking the Impact of the Private Fund Adviser Rules

We captured insights into the Private Fund Adviser Rules through a series of polling questions and examine in this infographic what they mean for firms.

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Private_Fund_Adviser_Rules_Cheat_Sheet

Private Fund Adviser Rules Cheat Sheet

Unlock the complexity of the SEC Private Fund Adviser Rules with our cheat sheet, designed to simplify this intricate regulation.

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Private_Fund_Adviser_Rules_Timeline

Private Fund Adviser Rules Timeline to Comply

Discover the specific phases and timeframes required for a smooth and compliant journey to the rule’s deadlines.

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Private_Fund_Adviser_Rules_FAQs

Private Fund Adviser Rules FAQs

Access a source for answers to common questions to help you better understand your obligations to meet the new regulations.

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SEC Private Fund Adviser Rules Solutions

Regulatory change is here for Private Fund Advisers. Our unique blend of regulatory advisory, investment performance, and technology services, provides an end-to-end solution to help firms holistically address all elements of the new rules.