All posts by Cari Hopfensperger

April Updates from Foreside. . .

Regulatory Updates from Cari Hopsfenperger at Foreside.

Topics include:

Plus Takeaways, Lessons Learned, Worth Reading, Watching and Hearing, and To-Do Checklists for the Month of May

To Do Checklists for the Month of March 2022

Investment Advisors

Hedge/Private Fund Advisors

Broker-Dealers

Registered Commodity Pool Operators

Mutual Funds

  • Form N-PORT
  • Form N-MFP
  • Form N-CEN

Read more here.

SEC Frowns on Private Equity Fee Offset Calculations, Hedge Clauses, and Backtested Performance: Lessons Learned and Worth Reading for February 2022

Lessons Learned:

Worth Reading, Watching, and Hearing

Read more here.

More Lessons for Private Fund Advisors, BDs & NFA Member Firms Get Continued Relief from In-Person Inspection Rule: Regulatory Update for February 2022

Mid-February Regulatory Updates from Cari Hopsfenperger at Foreside.

Topics include:

Read more here.

SEC Charges Advisor and Dual-Hatted CCO Over Inadequate Disclosures About Fee Mark-Ups; Form CRS Violations Continue; Compliance Professional Development and Leadership Inspiration; Lessons Learned and Worth Reading for December 2021

Lessons Learned 

Worth Reading, Watching, and Hearing