Significant Investment Management Developments and Model Annual Compliance Checklists for Registered Investment Advisors, Exempt Reporting Advisors, Commodity Pool Operators, Commodity Trading Advisors and Private Money Managers – Commodities / Derivatives / Exchanges

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Lowenstein Sandler’s Investment Management Group is pleased to provide the summaries and checklists described below.

Summaries of recent legislative and regulatory developments concerning:

  • 2022 SEC Exam Priorities

  • Proposed Changes to Form PF Requirements

  • Proposed new rules for private fund advisers and requirement to document annual reviews

  • Proposal for new cybersecurity risk management rules

  • Draft Rules 13D and 13G Beneficial Ownership Report

  • SEC Comments on Private Fund Advisor Reviews

  • Global Trade and National Security: Sanctions and Compliance

  • Speech by SEC Chairman Gensler on cybersecurity

  • 2021 tax developments and future considerations

  • CFTC FAQ regarding Commission Rule 4.27 and Form CPO-PQR

  • NFA Changes to the Definition of Branch

  • Responsibilities of CPOs or CTAs for Third-Party Supervision

  • NFA Rule 1101 and Compliance Rule 2-36(d)

  • Common Flaws in NFA Exams

  • Testimonial from CFTC Chairman Behnam on Digital Assets

  • DOL Trust Board Rule

  • DOL releases proposed rules regarding ESG investing and proxy voting

  • SEC accuses App Annie and its founder of securities fraud

  • SEC Case Alleges Insider Trading – Sympathy Trading

  • SEC raises dollar threshold for qualified clients

  • Privacy Updates

Compliance Considerations Checklists for:

  • Private investment funds and their advisers

  • Registered Investment Advisers and Exempt Reporting Advisers

  • Commodity Pool Operators and Commodity Trading Advisors

Read the full alert here.

The content of this article is intended to provide a general guide on the subject. Specialist advice should be sought regarding your particular situation.

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