by Victoria Smith | 2023-04-19 | Our Thinking
background On 9 February 2022, the Securities and Exchange Commission (“SEC”) released its proposed Private Fund Advisers rule, with the primary goal of promoting transparency for private fund investors by requiring registered investment advisers to disclose the full...
by Victoria Smith | 2023-04-13 | Our Thinking
Many regulators across the globe are of the view that crypto technologies have the potential to offer the financial services sector enormous benefits. However, as with any emerging technology, there are risks as well as opportunities… Crypto regulation remains a...
by Victoria Smith | 2023-03-14 | Our Thinking
background With a focus on environmental, social and governance (‘‘ESG’’) concerns and the further protection of investors in the modern fund industry, the US Securities and Exchange Commission (the “SEC”) considered a proposal to update the Names Rule of funds,...
by Victoria Smith | 2023-03-07 | Our Thinking
background On 4 January 2023, a consent order was issued to Coinbase Inc. (“Coinbase”), a crypto exchange platform, by the New York Department of Financial Services (the “NYDFS”) for conducting its business in an unsafe and unsound manner. Following investigation, the...
by Victoria Smith | 2023-03-02 | Our Thinking
The SEC has recently proposed changes to its Custody Rule that if adopted will substantially expand and reform the existing rules governing custody of client assets. The scope of assets covered by the new Rule will be changed from limited “securities and funds” to any...
by Victoria Smith | 2023-02-20 | Our Thinking
Are you an investment advisor affected by the new Securities and Exchange Commission marketing rules? Firms will need to ensure they are compliant with the new Marketing Rule by making updates to their marketing materials, contracts and policies and procedures. At...
