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Exempt Reporting Entities (26)
Your search for Exempt Reporting Entities returned 26 results.
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3/05/2019 | Content area: Investment Adviser
Montoya engaged in a scheme to defraud investors in the RMA Fund of millions of dollars. Montoya made fraudulent representations to investors concerni...
2/11/2019 | Content area: Investment Adviser
Batchelor engaged in a fraudulent scheme by, in connection with an unregistered offering of interests in a fund to be managed by the investment advise...
7/23/2018 | Content area: Investment Adviser
Based on the long positions reflected in certain accounts at its prime brokers (albeit not an overall net long position in such securities across all ...
7/10/2018 | Content area: Investment Adviser
A covered associate of Respondent made a contribution to the federal election campaign of an elected state official in Wisconsin and that state office...
6/29/2018 | Content area: Investment Adviser
This matter arises from the failure of venture capital fund adviser Aisling to offset consulting fees against the management fees paid by certain fund...
7/27/2017 | Content area: Investment Adviser
One must be pretty bad in the compliance role for the SEC to bar a person from serving as CCO.   In a new settlement, Brian Kimball Case accepted that...
1/20/2017 | Content area: Investment Adviser
More evidence has appeared that if you serve as CCO at a firm that’s alleged to have perpetuated a fraud, you can suffer an enforcement action separat...
1/19/2017 | Content area: Investment Adviser
These proceedings arise because Susan Diamond, the Chief Compliance Officer of Saddle River Advisors, LLP (“SRA”), made untrue statements in multiple ...
3/30/2016 | Content area: Investment Adviser
Burrill took this money to cover cash shortages in his non-Fund III related Burrill & Company businesses, pay employee salaries, and to support his la...
3/22/2016 | Content area: Investment Adviser
As the SEC’s Division of Investment Management prepares a recommendation for the Commission to formally revise two advisers act rules in response to t...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Exempt reporting advisers. If you are an investment adviser relying on the exemption from registering with the Commission under section 203(l) or ...
7/14/2014 | Content area: Investment Adviser
Last month, we reported the enforcement action against TL Ventures and Penn Mezzanine, two exempt-reporting advisers that thought the pay-to-play rule...
3/26/2012 | Content area: Investment Adviser
An incongruity between related sections of the new Form ADV, Part 1 could be causing you great consternation. Item 7A seeks information about financia...
1/30/2012 | Content area: Investment Adviser
Book some time to go through the new Form ADV, Part 1 of TPG Global Advisors ($54B in AUM), the newly registered private equity adviser based in Fort ...
1/25/2012 | Content area: Investment Adviser
This is the 2012 Form ADV, Part 1 of an exempt-reporting adviser.
1/25/2012 | Content area: Investment Adviser
This is the 2012 Form ADV, Part 1 for an exempt reporting adviser.
11/14/2011 | Content area: Investment Adviser
Even before the day was out last Monday - the debut of the new Form ADV, Part 1 on IARD (IA Watch, Nov. 7, 2011) - 31 firms had already completed the ...
10/31/2011 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is the 2011 final rule from the SEC laying down the rules for advisers to private funds, some commodity pool operators and trading advisers to co...
10/10/2011 | Content area: Investment Adviser
The SEC is electing to not repeat its tiered filing fee system for the new exempt reporting advisers and for private fund advisers expected to submit ...
8/15/2011 | Content area: Investment Adviser
Scenario: An unregistered adviser in London flies to New York to meet with an advisory firm. The British adviser hopes to manage a chunk of the U.S. f...


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