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SEC Issues Risk Alert Regarding Registered Investment Companies

By Arthur Don & Douglas W. Hathaway on November 3, 2021
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On Oct. 26, 2021, the Securities and Exchange Commission (SEC) Division of Examinations issued a Risk Alert in which it identified observations from examinations under its registered investment company initiative, first announced in 2018. The Risk Alert summarized examination conclusions from funds in six categories, although the staff noted that its observations “can assist all funds in assessing compliance risks.”

Continue reading the full GT Alert.

Photo of Arthur Don Arthur Don

Arthur Don has more than 45 years of experience representing public and private investment companies, money managers and investment advisers, mutual funds and their independent directors, private investment funds (including private equity funds and real estate funds), and broker-dealers. His practice focuses on…

Arthur Don has more than 45 years of experience representing public and private investment companies, money managers and investment advisers, mutual funds and their independent directors, private investment funds (including private equity funds and real estate funds), and broker-dealers. His practice focuses on regulatory structuring and compliance matters, governance, and sophisticated securities matters and transactions.

Throughout his career, Arthur has represented some of the nation’s most well-known and successful investment managers. His decades-long experience in the investment management arena enables him to provide bespoke counseling and strategies.

In addition, Arthur has represented issuers and underwriters in numerous public offerings. He frequently advises on independent director fiduciary duties and compliance policy issues and the implementation of ESG (Environmental, Social, and Governance) principles.

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Photo of Douglas W. Hathaway Douglas W. Hathaway

Douglas W. Hathaway is a corporate associate in Greenberg Traurig’s Chicago office, where he is a member of the firm’s Fund Formation and Investment Management Groups. He regularly counsels private equity and hedge fund sponsors in connection with the formation, structuring, capital raising…

Douglas W. Hathaway is a corporate associate in Greenberg Traurig’s Chicago office, where he is a member of the firm’s Fund Formation and Investment Management Groups. He regularly counsels private equity and hedge fund sponsors in connection with the formation, structuring, capital raising activities, ongoing operations, and regulatory compliance of their funds and other alternative investment vehicles. He has represented established and emerging investment managers across an array of domestic and international strategies, including buyout equity, distressed debt, fund of funds, and alternative investment strategies. In addition, Douglas works with a number of registered funds on a number of issues including compliance, filings, and work with their independent boards.

Douglas also advises a range of investment advisers on various compliance issues.

Prior to joining the firm Douglas served in the United States Army and worked at the Federal Bureau of Investigation. During law school, he interned at the Securities and Exchange Commission’s Division of Enforcement.

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  • Posted in:
    Banking, Finance and Securities
  • Blog:
    Financial Services Observer
  • Organization:
    Greenberg Traurig, LLP
  • Article: View Original Source

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