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Funds (55)
Your search for Funds returned 55 results.
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11/29/2018 | Content area: Investment Adviser | Private Fund
Steven Zoernack’s first conviction for a financial crime came in 1999. His second followed eight years later when he pleaded guilty to ripping off inv...
11/15/2017 | Content area: Private Fund
Click here to open an Excel file that is a template displaying the data required to be reported under the EU's Packaged retail investment and insuranc...
11/13/2017 | Content area: Private Fund
Click here to open an Excel file that is the European Working Group's template containing data points that a U.S.-based adviser that has parties in th...
3/08/2017 | Content area: Investment Adviser
We would not recommend enforcement action to the Commission under Section 12(d)(1)(A) or (B) of the 1940 Act against a Foreign Feeder Fund that acquir...
1/21/2016 | Content area: Private Fund
It could seem that an SEC enforcement action against a business development company is as rare as a winter sun in Alaska. But recently the Commission ...
1/21/2016 | Content area: Private Fund
Just because a particular issue gets trimmed from the SEC’s exam priorities list one year to the next doesn’t mean that issue has fallen off the Commi...
10/16/2015 | Content area: Investment Adviser | Broker-Dealer | Private Fund
I thought I would highlight some of what we have learned about the risk profiles of private funds that will remain a focus for the Commission going fo...
4/21/2015 | Content area: Private Fund
The SEC has brought its first-ever case charging a firm and its CCO for failing to report a “material compliance matter” to a fund board. The Investme...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) As used in this section: (1) The term Donee means a person who acquires a security of a Covered Company (or a security or other interest in a comp...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Reporting by investment advisers to private funds on Form PF. If you are an investment adviser registered or required to be registered under secti...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Prohibition. It shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business within the meaning of section 206(4...
10/02/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) United States investment advisers. For purposes of section 203(m) of the Act (15 U.S.C. 80b-3(m)), an investment adviser with its principal office...
9/26/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The Investment Advisers Act of 1940Section 204 -- Reports by Investment Advisers Every investment adviser who makes use of the mails or of any means o...
7/14/2014 | Content area: Private Fund
Six new FAQs from the SEC's Division of Corporation Finance may not spur greater use of general solicitation but they encourage firms to think for the...
1/27/2014 | Content area: Private Fund
Five years after the financial crisis, regulators continue to struggle in determining whether asset managers deserve special attention for potentially...
1/20/2014 | Content area: Private Fund
Simplicity and growth are two reasons more advisers that manage exempted 3(c)(1) pooled funds are looking to fold them into the larger 3(c)(7) fund st...
11/06/2013 | Content area: Investment Adviser | Private Fund
The staff would not object if the Firm aggregated the investor’s investments in all of the private funds advised by the related investment advisers th...
8/26/2013 | Content area: Private Fund
With only five weeks to go before the SEC's new so-called "bad actors" rule takes effect, advisers are struggling to come up with an approach to compl...
8/12/2013 | Content area: Private Fund
Approval greets the decision by the SEC's Division of Investment Management to drop the requirement under the revised custody rule that certificates f...
6/17/2013 | Content area: Private Fund
We've reported before that you can swear off an annual audit in favor of a surprise exam to satisfy the SEC's custody rule (IA Watch, Jan. 21, 2013). ...


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