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Hedge Fund Quarterly Update

Q4 2021

We are pleased to provide this latest update to keep you apprised of regulatory developments in the private fund and liquid alternatives space. In this newsletter, we highlight several noteworthy topics and developments.

This update will cover:

  • SEC Enforcement Results for FY 2021
  • SEC Continued Focus on Digital Assets and DeFi Platforms
  • SEC Chairman's Public Comments on the Private Fund Industry
  • ACA Investment Management Compliance Testing 2021 Survey
  • New Marketing Rule: An Updates
  • SEC Announces Win in Jury Trial Against Hedge Fund Adviser
  • SEC Staff Report on Equity and Options Market Structure Conditions in Early 2021
  • SEC's Recent Sweep Inquiries & Enforcement Action Relating to Unauthorized Electronic Communications at Big Banks
  • SEC Chairman Highlights Continued Scrutiny of SPACs
  • SEC Risk Alert: Investment Adviser's Fee Calculations
  • SEC Focus on Alternative Data
  • Noteworthy Insider Trading Cases
  • SEC Rule Proposals and Regulatory Approvals