Jul. 3, 2025
Jul. 3, 2025
Focus on SEC Examinations
Due to the Fourth of July holiday in the U.S. tomorrow, this issue highlights five articles from the Hedge Fund Law Report’s archives that focus on SEC examinations, including how the SEC’s Division of Examinations (Examinations) selects investment advisers to examine; how fund managers should handle their initial contact with Examinations staff; how to prepare for and navigate the exam; how to minimize the risk the exam will end in a referral to the Division of Enforcement; and what non-U.S. advisers should expect in SEC exams. The Hedge Fund Law Report will resume its normal publication schedule the week starting July 14, 2025. For observations from former Examinations staff members on the Division’s 30th anniversary, see our two-part series: “Its Creation and Evolution Over the Last 30 Years” (Apr. 10, 2025); and “Its Present State and Possible Future” (Apr. 24, 2025).
Read full article …
Most-Read Articles
-
Mar. 12, 2026
CFTC No‑Action Letter Restores Commodity Pool Operator Exemption for Many Asset Managers (Part One of Two) -
Feb. 26, 2026
Update on Appetite for Separately Managed Accounts and Key Terms -
Feb. 26, 2026
FINRA Proposes Streamlined Outside Activities Reporting Rules for Broker‑Dealers -
Mar. 26, 2026
Making Use of CFTC No‑Action Relief Restoring Commodity Pool Operator Exemption (Part Two of Two) -
Mar. 12, 2026
Understanding GP Financing Facilities
Trailblazing Women – Contributions, Achievements and Observations of Outstanding Leaders
To mark International Women’s Day, Law Report Group editors, along with our colleagues across ION Analytics’ products, interviewed outstanding women in the industries and jurisdictions we cover. In this article, Jill Abitbol, Robin Barton, Rorie Norton and Megan Zwiebel profile notable women in the data privacy, cybersecurity, AI, private funds and anti-corruption law fields, including (i) Paula Howell Anderson, (ii) Gwendolyn Lee Hassan, (iii) Audrey Koh, (iv) Stacy Feuer, (v) Heather Egan, (vi) Jeewon Serrato, (vii) Stephanie Breslow, (viii) Anne Choe, (ix) Heather Wyckoff, (x) Angie Batterson, (xi) Jacqueline Eaves, and (xii) C. Dabney O’Riordan.
Enjoy reading their inspiring remarks here.