Eric Requenez

Latest Articles

The Securities and Exchange Commission (SEC) recently amended Form ADV to require investment advisers to disclose more information about their separately managed account business, aggregate data related to the use of borrowings and derivatives, and disclose information about other aspects of their advisory business, including branch office operations and the use of social media. The amendments also streamline registration and reporting for “umbrella registrations” made by groups of private fund advisers operating a single advisory…
The SEC’s Division of Investment Management published regulatory guidance on June 28, 2016, highlighting the need for registered investment company complexes to review their business continuity plans to ensure they are sufficiently robust to mitigate potential exposures and disruptions and consider the backup processes and redundancies of critical service providers.  On the same day, the Commission proposed rules that would require registered investment advisers to adopt and implement business continuity and transition plans reasonably designed…