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SEC | Coronavirus | Form PF | Form ADV - Indus Valley Partners

SEC Continues Its Focus on the Misappropriation of Fund Assets

SEC Continues Its Focus on the Misappropriation of Fund Assets

By | Blog, Expense Manager | No Comments

Expense allocation is a critical process for private equity, hedge funds, pension funds and other asset managers often performed manually through the use of Excel-based spreadsheets. However, due to the complex nature of fund expense rules that differ from fund to fund, managing this process manually can lead firms down a path of operational risks that have the potential to result in hefty regulatory fines, a loss of reputation or monetary loss to the management company.

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Regulatory Relief and Key Conditions for firms During COVID-19

Regulatory Relief and Key Conditions for Firms During COVID-19

By | Blog, Raptor | No Comments

In response to the COVID-19 pandemic’s potential impact on firms, the SEC has come forward with several contingency and relief measures in an effort to ease the regulatory burdens that investment advisors and stakeholders may be facing in the new all-remote work environment.

During the earlier days of the pandemic, the SEC announced that they were extending filing deadlines for a number of regulatory obligations including Form ADV, Form PF and Brochure Delivery. Now, both the SEC and NFA continue to monitor how the market is functioning as well as impending risks that may be lingering in this new environment in order to be able to provide swift guidance and relief to impacted parties if needed while still maintaining continuity of operations.

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SEC extends Regulatory filing in-light of COVID–19

COVID-19 Prompts SEC to Extend Regulatory Filing and Delivery Deadlines

By | Blog, Raptor | No Comments

Amid coronavirus’ growing impact on both the health of citizens and institutions around the globe, authoritative organizations everywhere have taken action to help ease some of the burdens that are coinciding with nationwide lockdowns, closures of non-essential businesses and more. In an effort to mitigate the potential ramifications of the virus on financial market participants, the SEC has announced this month that it will be extending filing deadlines for a number of regulatory obligations including Form ADV, Form PF and Brochure Delivery.
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