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Analytical Note

SEC Charges Adviser in Connection with a Series of Season and Sell Transactions

In a first ever case, the SEC announced a settled enforcement action against an investment adviser arising from a series…

the SEC proposed amendments to Form N-PORT that would largely roll back or revise elements of the SEC’s 2024 Form N-PORT amendments, which had contemplated monthly public Form N-PORT reporting on an accelerated 30-day deadline.
Analytical Note

SEC Proposes Changes to Form N-Port

The SEC proposed amendments to Form N-PORT that would largely roll back or revise elements of the SEC’s 2024 Form…

Analytical Note

Recent FINRA Action Underscores Risks of Using Aggregated and Projected Performance

FINRA Action Underscores Risks in Using Aggregated and Projected Performance

Analytical Note

SEC’s Latest Case Focuses on Investment Advisory Agreement Provisions

The adviser’s investment advisory agreements included a hedge clause without a corresponding savings clause, an assignment clause and a clause…

Infographic

Navigating the Road to a Successful Continuation Vehicle

While CV transactions can create value, they also raise unique and sometimes subtle compliance considerations. This infographic helps compliance teams…

Analytical Note

Division of Examinations Issues Risk Alert Highlighting the Challenges of Marketing Rule Compliance for Testimonials, Endorsements, and Third-Party Ratings.

The Division of Examinations recently issued a risk alert highlighting the challenges of complying with the key provisions of the…

Infographic

The Credit Valuation Pyramid

With credit and credit-related issues making headlines, it’s likely that loan and credit valuations will soon become a top focus…

Analytical Note

SEC Publishes its 2026 Exam Priorities

Although the stated priorities appear to signal a shift to a more collaborative tone, we anticipate less deviation from current…

Analytical Note

SEC charges adviser over conflicted loans and failure to disclose key information in LP asset purchase.

The SEC charged a fund manager with securities law violations involving: (1) Related-party loans made at below-market interest rates; (2)…

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