U.S. Regulatory Update – Winter 2023
This edition of our Regulatory Update kicks off with our take on the SEC's 2023 enforcement results, a break down of the implications of FinCEN's Corporate Transparency Act, and an in-depth analysis of the DOL's fiduciary rule proposal.
For advisers, we provide a current snapshot of state IAR CE requirements and share details of the SEC's recent updates to the ADV FAQ.
For CPOs/CTAs, we give a commentary on the CFTC's new blueprint for enforcement.
This edition, includes articles such as:
- 2023 SEC Enforcement Results
- The DOL’s Latest Attempt to Extend ERISA Fiduciary Obligations to 401K Rollovers
- FinCEN’s Latest Anti-Money Laundering Rule: Exemption for RIAs and Venture Capital Fund Managers
- Modernization of Beneficial Ownership Reporting
- Update on NYDFS Cybersecurity Regulations State IAR CE Requirements – A year end update
- Division of Investment Management: Updates to Form ADV FAQ
- The SEC Imposes Yet Another Reporting Obligation for Securities Lending
- The SEC Requires Monthly Reporting of Short Sale Data by Institutional Investment Managers
- CCO Liability Update
- The CFTC’s Enforcement Advisory of Penalties, Monitors, Consultants, and Admissions
- The SEC Charges Adviser to Private Funds For Failure to Comply with the Custody Rule
- Exempt Reporting Advisers Still Subject to SEC Regulations on Short Selling
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