Focus Perspective: Risk Alerts

Once upon a time, back in the “Olden Days,” when the SEC’s request list was 11 or 12 items listed on a single page, most of our information about the responsibilities of an investment adviser and the SEC’s examination process … Read More ›

Focus Perspective: Déjà vu all over again

There we were, last week on July 22, talking about disciplinary history policy, and OCIE’s September 12, 2016 Risk Alert, “Examinations of Supervision Practices at Registered Investment Advisers.” Was the SEC spying on us? Has our email been hacked by … Read More ›

Focus Perspective: BDCs and CEFs

  The Securities and Exchange Commission (“SEC”) is proposing rules that would modify the registration, communications, and offering processes for business development companies (“BDCs”) and other closed-end investment companies (“CEFs”) under the Securities Act of 1933, as recently mandated by … Read More ›