Lowenstein Sandler’s Financial investment Management Group is . delighted to supply you with the summaries and lists explained . listed below.

Summaries of current legal and regulative advancements with . regard to:

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• SEC’s 2022 Assessment Top priorities

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• Proposed Modifications to Kind PF Requirements

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• Proposed New Rules Applicable to Private Fund Advisers and . Requirement to File Yearly Evaluations

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• Proposed New Cybersecurity Danger Management Rules

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• Proposed Guideline 13D and 13G Beneficial Ownership .
  Reporting

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• SEC Observations from Evaluations of Personal Fund
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  Advisers

&. .

• Global Trade & National Security: Sanctions and .
  Compliance

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• SEC Chairman Gensler Speech on Cybersecurity

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• 2021 Tax Advancements and Future Factors To Consider

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• CFTC Frequently Asked Questions Relating To Commission Guideline 4.27 and Kind .
  CPO-PQR

. . (* )NFA Modifications to Meaning of Branch Workplace

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  . (* )CPOs or CTAs 3rd Party Supervisory . Duties

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• NFA Law 1101 and Compliance Guideline 2-36( d)

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.(* )Typical Shortages in NFA Evaluations

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  .

CFTC Chairman Behnam Statement on Digital Assets

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DOL’s Fiduciary Guidance Guideline

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DOL Issues Proposed Rules Resolving ESG Investing and Proxy .
Ballot

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SEC Charges App Annie and its Creator with Securities .
Scams

• . .(* )SEC Case Declares Expert Trading– Compassion Trading

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• SEC Raises the Dollar Limit for Qualified Customers

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• Personal Privacy Updates

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• . Lists of compliance factors to consider for:

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• Personal Mutual Fund and Their Advisers

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Registered Financial Investment Advisers and Exempt Reporting .
Advisers

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• Product Swimming Pool Operators and Product Trading Advisors

.(* )Check out the complete alert

• here
• The material of this post is planned to supply a basic . guide to the subject. Expert suggestions must be looked for .
  about your particular situations.

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