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Private Markets Quarterly Update

Q4 2021

Download our quarterly newsletter to learn more about notable regulatory developments and industry insights.

This update will cover:

  • Recent SEC Public Remarks Signal Desire for Comprehensive Reevaluation of Private Markets Regulation
  • Best Practices for Building and Implementing a Private Markets ERA or RIA Compliance Program
  • Insider Trading Focus: Multiple Recent SEC Charges Present Cautionary Lessons for Private Markets Fund Managers
  • SEC’s Novel Shadow Trading Theory – Potentially Significant Ramifications for Private Markets Fund Managers
  • SEC’s Recent Sweep Enquiries Into Electronic Communications – Key Takeaways for Private Markets Fund Managers
  • Custody Rule Focus: Noteworthy Recent Trends in SEC Examinations & Enforcement Actions.
  • Other Noteworthy Recent SEC Enforcement Actions
  • SEC’s New Marketing Rule: An Update
  • The UK National Security and Investment Act of 2021 – Ramifications for the Global Private Equity Industry
  • Real Estate: Compliance Challenges for Open-End Real Estate Vehicles
  • Effectively Managing Operational Challenges in Performance Calculation and Reporting – Practical Suggestions
  • ESG Update: UNPRI’s Next Reporting Period Delayed Until Early 2023