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Funds (13)
Your search for Funds returned 13 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...
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...
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...
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...
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...
11/26/2012 | Content area: Investment Adviser | CPO/CTA | Private Fund
Many believe it's only a matter of time before the SEC finalizes its general solicitation proposal, opening up private fund offerings to advertising (...
10/12/2012 | Content area: Investment Adviser | Private Fund
Since section 12(d)(1)(G) was adopted, we have received inquiries about whether a fund that intends to operate in reliance on that section is required...
10/07/2011 | Content area: Investment Adviser
    Investment Company Act of 1940 — Section 17(a), 17(d) and Rule 17d-1 Morgan Stanley Institutional Fund of Hedge Funds ...
2/12/2007 | Content area: Investment Adviser | Private Fund
This no-action letter from the SEC in 2007 concerns so-called hedge clauses in client indemnification agreements.


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