Caroline Spillane

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Caroline Spillane

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11 results

Date

Newsletter
FinReg Monthly Update

From Regulatory & Compliance on February 2026
Client Alert
SEC Permits Confidential Treatment Requests for Form ADV Information

on January 7, 2026
Blog
CFTC Issues No‑Action Relief Easing Registration Requirements for Private Fund Managers

From Regulatory & Compliance on January 5, 2026
Client Alert
SEC Issues Risk Alert to Remind Advisers of Core Compliance Expectations

on December 22, 2025
Blog
SEC Division of Investment Management Director Brian Daly Signals Innovation-Forward Agenda, Positioning AI at the Forefront of SEC Strategy

From Regulatory & Compliance on December 10, 2025
Client Alert
Reminder: Compliance with Amendments to Regulation S-P is Required as of December 3, 2025

on November 21, 2025
Blog
Proposed Changes to Interest Rate Tax Treatment for RICs

From Tax Talks on June 9, 2025
Client Alert
SEC Chairman Paul Atkins to Urge SEC to Rethink Private Fund 15% Threshold

on May 23, 2025
Client Alert
Update: SEC Approves Additional Flexibility for Co-Investment Relief for BDCs and Closed-End Funds that Previously Obtained Non-Principles Based Relief

on May 21, 2025
Client Alert
SEC Set to Approve More Flexible Co-Investment Relief for BDCs and Closed-End Funds

on April 24, 2025

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