Investment Advisers & Private Funds

• SBA Temporarily Revises Draw Application Schedule

  November 18, 2019

• OCIE Risk Alert on Principal and Agency Cross Transactions

  October 17, 2019

• Life Sciences Investors Beware

  October 2, 2019

• SBA Simplifies Filings Requirements for SBIC Applicants

  September 20, 2019

• New Cayman Islands Data Protection Law, 2017 Coming into Effect

  September 3, 2019

• SBA Announces New Fee on Leverage Draws and New Process for Leverage Approval Notices

  August 21, 2019

• SEC OCIE Risk Alert Update: Supervision of Disciplined Individuals

  August 19, 2019

• SBA Releases Annual Investor Recertification Memorandum for SBICs

  August 19, 2019

• Form SHL: Report of Foreign Residents’ Holdings of U.S. Securities Due August 30, 2019

  August 14, 2019

• Investment Adviser Agrees to Pay $5 Million for Compliance Deficiencies in Valuing Client Assets

  June 10, 2019