Private Equity

In this issue, we discuss proposed customer identification requirements for investment advisers and amendments regarding e...

In this issue, we discuss the SEC Examinations Division’s risk alert regarding compliance with the Advisers Act Marketin...

In this issue, we discuss recent enforcement actions involving investment advisers that allegedly made false and misleadin...

On March 5, 2024, the FTC, the DOJ and the U.S. Department of Health and Human Services announced that they are seeking pu...

In this issue, we discuss among other things updated FAQs regarding compliance with the marketing rule under the Advisers ...

While scaled back from the original proposal, the final rules expand the scope of firms required to register as dealers as...

In this issue, we discuss SEC Chair Gary Gensler’s statement regarding the recent approval of spot bitcoin exchange-trad...

The Federal Trade Commission (FTC) announced revised Hart-Scott-Rodino Act (HSR) reporting thresholds and filing fee amoun...

The Federal Trade Commission has announced revised thresholds for Section 8 of the Clayton Act.  Under the new thresholds,...

In this issue, we discuss a recent enforcement action involving an investment adviser and alleged custody rule violations.