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 structure. ...
With 2014 now here, it is a good time to take a look at seven legislative and regulatory issues that could impact the private equity ...
This is a proposal from the SEC in 2013 that represents part 2 of its JOBS Act responsibilities. This rule would expand the existing exemption ...
While it's a confirmed best practice for compliance to review all firm advertising, the act doesn't guarantee a firm or an individual will escape liability ...
This adviser, according to the SEC, committed many violations when it came to valuation of fund assets as well as displaying faulty controls related to ...
Although a bipartisan vote in the House last week passed a bill that would exempt private equity fund advisers from SEC registration, the measure's prospects ...
The five scenarios below are illustrative of the inquiries the Division is receiving with respect to the VC Exemption. Each involves situations where advisers have ...
This adviser was charged with a slew of Advisers Act violations, including of the custody rule, valuation and the principal trading rule.