The Corporate Transparency Act (CTA) has been in effect since Jan. 1, 2024, requiring non-exempt U.S. entities and non-exempt foreign entities that are registered to do business in the United
Continue Reading CTA Countdown: Upcoming FinCEN Filing DeadlinesAmelia Hope Adams
Hope Adams focuses her practice on the asset management and financial services industry, advising banking institutions and investment managers on a wide range of regulatory, transactional, asset servicing, product structuring and private fund matters.
With over three decades of experience, including 13 years as senior legal counsel supporting the asset management operations and private fund investment activities of a large U.S. national bank, Hope has developed a wide-ranging understanding of the intersection of regulatory and operational risks and the business objectives of the institution. Based on her in-house experience, Hope strongly believes that an effective lawyer will first understand the client’s objectives and limitations and then provide practical and risk appropriate alternatives, whether related to the implementation of new regulations, managing regulatory audits, drafting contracts or internal policies and procedures or advising on the development and launch of new products, services or private funds.
SEC Cracks Down on Marketing Rule Violations: Takeaways for Investment Advisers
On Aug. 9, 2024, the Securities and Exchange Commission initiated administrative and cease-and-desist proceedings against a U.S. registered investment adviser (the Adviser). This action resulted from the Adviser’s failure to…
Continue Reading SEC Cracks Down on Marketing Rule Violations: Takeaways for Investment AdvisersDOL Makes Significant Changes to QPAM Exemption
On April 3, 2024, the Department of Labor (DOL) published in the Federal Register long-awaited final amendments to Prohibited Transaction Class Exemption 84-14 (the Amendment), also known as the Qualified…
Continue Reading DOL Makes Significant Changes to QPAM Exemption