Author: Miles Edwards

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Jacko Law - Miles Edwards
Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Private Fund Counsel | Regulatory Compliance

SEC New Private Fund Adviser Rule: What You Need to Know

August 29, 2023 by

The proposed SEC rules to “enhance” the regulation of private fund advisers by increasing “transparency, competition, and efficiency may not be entirely unexpected, but their substance and implications appeared to target the fundamental elements of the private funds and disrupt the relationships with investors.… Read More

Jacko Law - Miles Edwards
IA Marketing Rule Counsel | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Private Fund Counsel

Valuation: SEC Examination Target

June 29, 2023 by

Since 2023, the Securities and Exchange Commission (SEC) has noticeably intensified its enforcement efforts concerning investment advisers operating within the private funds sector. This heightened regulatory stance was reinforced by Gurbir Grewal, the head of enforcement at the SEC, who has emphasized the expectation of an upsurge in enforcement actions against advisers who fail to allocate sufficient resources to fulfill their compliance and legal obligations, particularly in relation to the valuation of clients’ assets.… Read More