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Found 52 results for: Publications, Events, Videos, Client News, Firm News, Jyoti Sharma
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Title Date Resource Type
SEC Announces 2020 Examination Priorities
01/10/2020
Publication
Private Funds Regulatory Compliance Calendar 2020
12/17/2019
Publication
Hunt Real Estate Capital to Be Acquired by ORIX USA
11/04/2019
Client News
SEC Outlines Principal Trading Compliance Issues
09/11/2019
Publication
SEC Releases Interpretation of Advisers Act Fiduciary Duties
06/10/2019
Publication
Private Funds Regulatory Compliance Calendar 2019
01/03/2019
Publication
SEC Announces 2019 Examination Priorities
01/02/2019
Publication
Initial Thoughts for Fund Managers for 2019: Addressing Liquidity Issues
12/26/2018
Publication
Roark Completes $6.5 Billion Fundraise for Two Funds
10/24/2018
Client News
SEC Publishes the Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers
04/17/2018
Publication
New SEC Disclosure Requirements on Form ADV Become Effective October 1
09/26/2017
Publication
Roark Capital to Acquire ICWG From TDR Capital
08/24/2017
Client News
CDPQ and KKR Complete $4.3 Billion Acquisition of USI Insurance Services
05/16/2017
Client News
SEC Lists the Five Most Frequent Compliance Topics Identified in Examinations of Investment Advisers
02/08/2017
Publication
SEC Announces 2016 Examination Priorities
01/11/2016
Publication
Annual Privacy Policy Notice Requirement Eliminated for Many Investment Advisers and Private Funds under the FAST Act
12/21/2015
Publication
Private Funds Regulatory Compliance Calendar 2016
11/23/2015
Publication
Crestview Partners Makes Equity Investment in Arxis Capital
09/30/2015
Client News
FinCEN Proposes AML Regulations for Investment Advisers
09/24/2015
Publication
OCIE Issues Additional Information on Cybersecurity Examination Initiative
09/17/2015
Publication
FinCEN Proposes AML Regulations for Investment Advisers
08/27/2015
Publication
SEC Issues Guidance on “General Solicitation or General Advertising”
08/12/2015
Publication
SEC Announces 2015 Examination Priorities
01/13/2015
Publication
Paul, Weiss Private Funds Regulatory Compliance Calendar for 2015
12/02/2014
Publication
SEC Issues Guidance to Private Funds Regarding the Application of the Custody Rule to Special Purpose Vehicles and Escrow Accounts
08/21/2014
Publication
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