All posts by Cari Hopfensperger

Shortened Settlement Cycles, Form ADV Amendments and Hackers Impact Derivatives Market: Regulatory Update for March 2023

March Regulatory Updates from Cari Hopfensperger at ACA Group:

Plus, To Do Checklists for March and April 2023, and more here.

SEC’s amendments to Rule 10b5-1 and new state privacy laws — ACA Regulatory Updates

February Regulatory Updates from Cari Hopfensperger at ACA Group:

Topics include:

  • News for All Firms
    • SEC Amends Rule 10b5-1 Restricting Insider Trading
    • State Privacy “Class of 2023” – Several New Privacy Laws Taking Effect
  • News for Investment Advisers
    • 10 States Now Require IARs to Complete Annual Continuing Education
    • Form 13F Amendments to Make Data More Usable Take Effect
  • News for CPOs/CTAs
    • NFA Reminds Members to Confirm Exemption Status of Entities They Do Business With
  •  Lessons Learned
    • SEC Fines Service Provider $5 Million for Securities Fraud: Service Providers Beware!
    • I’m Ready for My Close-Up: Former PM Leverages Investment to Get His Daughter in the Movies
    • Adviser Keeps Revenue Sharing on the Down Low – and Gets SEC Smackdown

Read more here.

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


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.