Beth Kramer

2024 Investment Management Regulatory And Compliance Calendar And Guidebook

SEC Risk Alert: Investment Adviser Examinations

Summary Of The SEC's Private Fund Adviser Rules

SEC Risk Alert: EXAMS' Review Of Marketing Rule Compliance To Focus On Testimonials/Endorsements, Third-Party Ratings, And Form ADV

Division Of Exams Issues Risk Alerts On Safeguarding Customer Records At Branch Offices And LIBOR-Transition

SEC Adopts Amendments To Form PF That Affect Large Hedge Fund Advisers, Private Equity Fund Advisers, And Large Private Equity Fund Advisers

SEC EXAMS Issues Risk Alert For Newly-Registered Advisers: Important Considerations And Observations

SEC Proposes New Safeguarding Rule To Replace Custody Rule, With Widespread Implications

SEC Division Of Examinations' 2023 Priorities

SEC Proposes Rule On Outsourcing By Investment Advisers