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FINRA Publishes New 2021 Report on FINRA’s Examination and Risk Monitoring Program with Guidance to Member Firms, Including on Emerging Risks

On February 1, 2021, the Financial Industry Regulatory Authority (“FINRA”) published the first annual Report on FINRA’s Examination and Risk Monitoring Program (the “Report”), which (i) provides an analysis of prior examination results and (ii) highlights areas FINRA plans to review in the coming year.

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Private Funds Report, Volume 1 – 2020 Year in Review And A Look Ahead

Practices: Asset Management, Private Funds, Credit Funds, Secondary Transactions, LIBOR Transition, Regulatory Compliance for Private Funds, Sponsor Representation, Asset Management ESG

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In this inaugural edition of Private Funds Report, we cover a detailed look at 2020, a year dominated by the COVID-19 pandemic, in respect of fundraising trends, regulatory developments, the transition of LIBOR, and what we might expect in 2021, particularly in light of the new US administration and Brexit.

Two core areas of focus and growth in 2020 were the secondaries market and credit funds, both of which are examined in this edition. We conclude this inaugural edition with a look at ESG issues. ESG matters came to the fore in this year of pandemic, with the industry responding positively to investor demand and increased regulatory focus in this area—momentum we expect to continue through 2021.

To supplement the information in this report, we have provided links to other content we have produced on these topics, including articles, focused reports and podcasts.

Click here to read the full Newsletter.

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