Compliance Newsflash – February 27, 2019

February 27, 2019

DLA is committed to keeping our clients and friends updated on relevant news and topics in the industry by distributing a weekly Compliance Newsflash. We hope this provides you with helpful and insightful information for you and your firm! Join our mailing list by clicking here: DLA Newsflash Registration.

The Top Ten Regulatory and Litigation Risks for Private Funds in 2019

On February 20th, 2019, the National Law Review reported that an increasingly sophisticated and active OCIE division, innovative market disruptors, a maturing credit cycle, and a philosophical change in how the private fund industry views and utilizes litigation are likely to lead to increased regulatory scrutiny and litigation risk for advisers (and their funds) in 2019.  With that backdrop, we are pleased to present our Top Ten Regulatory and Litigation Risks for Private Funds in 2019.

For more information, click here.

Rep. Waters Plans March 14 Hearing on SEC’s Reg BI

On February 25th, 2019, Think Advisor reported that the House Financial Services Committee Chairwoman Maxine Waters, D-Calif., plans to grill Securities and Exchange Commission Chairman Jay Clayton during a mid-March hearing on the agency’s proposed Regulation Best Interest.

For more information, click here.