FORsights by Brian Matlock
SEC Finalizes First Round of Form PF Updates
The SEC has voted three to two to issue a final rule updating Form PF requirements for hedge fund and PE fund advisers. Read on for details…
1Q 2023 SEC Update – Asset Managers, Funds, & Broker-Dealers
This paper provides an overview of key SEC proposals and final rules for 1Q that may impact asset managers, funds, and broker-dealers. Read…
Expansion of Adviser’s Safeguarding & Custody Rules?
The SEC has approved a proposal to significantly expand investor protection on advisory client assets. Read on for details.
Ready for T+1 Settlement by May 2024?
On February 15, 2023, the SEC voted three to two to approve a final rule reducing the settlement cycle for securities trades from two…
SEC Releases 2023 Examination Priorities
The SEC’s Division of Examinations has issued its 2023 Examination Priorities. Read on for details on the new 2023 focus areas.
SEC Proposes Second Set of Form PF Disclosure Updates
The SEC has issued a second set of proposed Form PF updates jointly with the CFTC that covers private funds, CPOs, and CTAs.