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SEC eases path for performance marketing with FAQ guidance update

For the past few years, fund managers and compliance officers have wrestled with strict SEC requirements when advertising investment performance. Now, the SEC has eased those burdens with its update…

| Americas

How can RIAs build a sturdy compliance program?

Small to mid-size registered investment advisers, or RIA’s, have unique challenges in establishing and maintaining a strong compliance program. To meet the regulator’s requirements under the Advisers Act and keep…

| Americas

Unlocking Rule 506(c): SEC eases path for fund marketing

For years, private fund managers had to tiptoe around the SEC’s ban on general solicitation. Under the traditional Rule 506(b) safe harbor, you couldn’t publicly advertise an offering at all.…

| Americas

Breaking the vault: Lessons in custody security from the Bybit hack

In February, the crypto world witnessed one of its largest ever breaches, a staggering $1.5 billion theft from Bybit’s cold wallet infrastructure. In an industry that prides itself on innovation…

| Americas

US Newsletter | February 2025

NEWSLETTER: With the new administration settling in, we’re seeing a lot of change over the horizon. From a pivot in strategy for crypto to market disruptions in private equity and…

| Americas

A squeezed space: challenges in private equity and closed-end funds

US private equity and closed-end funds face a number of difficulties in 2025, from macroeconomic uncertainty to operational complexity. At the same time, there are opportunities here, too. Lynne Westbrook,…

| Americas

Four steps to make sure compliance has a seat at the table

Across our client base, it’s fair to say no two organizations – and no two CCOs – are alike. But there are themes we see time and time again. All…

| Americas

A new dawn for crypto? What the new administration means for digital assets

For years, crypto regulation in the US has been marked by uncertainty. While digital assets gain mainstream traction, policymakers have often struggled to keep pace, often opting to take an…

| Americas

US Newsletter | January 2025

NEWSLETTER: The new year and new administration have already seen a shift in tone in the financial world, with a number of regulatory changes on the way. In December, we…

| Americas

Improving accounting controls beyond your audit

In the private fund world, audits are a necessary control to have a third party review your fund’s financial information. We all know a successful audit helps validate to your…

| Americas

What’s on the regulatory radar for 2025?

The SEC’s annual Examination Priorities list is a helpful indicator for firms, detailing topics where an examiner is most likely to focus, and where firms will need to be prepared…

| Americas

US Newsletter | December 2024

NEWSLETTER: We hope you had enjoyable Thanksgiving celebrations. We’re now entering the final stretch before switching off for a well-earned Christmas break. The new year also brings us a new…
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