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Report on Operation of AIFMD Highlights Existing Issues

On 10 January 2019, the European Commission (EC) published a report on the operation of the Alternative Investment Fund Managers Directive (AIFMD). The report confirms that AIFMD has significantly contributed to creating a single market for alternative investment funds by establishing a harmonized regulatory and supervisory framework. However, it also identifies various topics that will … Continued

SEC’s Latest Risk Alert Focuses on Electronic Communications

The SEC’s most recent risk alert, “Observations from Investment Adviser Examinations Relating to Electronic Messaging,” issued on December 14, 2019, focuses on the use and maintenance of electronic communications for business purposes. The purpose of the alert is to remind advisers of their obligations related to personal use of electronic messaging and the requirements for … Continued