For years, OCIE has talked of its use of risk analysis to select advisory firms to examine but perhaps no brighter light has been shined ...
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 that ...
Your views will be confirmed in the new study of The Cost of Compliance, which finds, as expected, that more regulations gin up the costs ...
This SEC document request letter, which went to an advisory firm, is interesting because it appears to mix the agency's approach to a so-called “presence ...
This is the SEC's 2013 proposal related to the JOBS Act that would set up a regime for crowdfunding, offered by broker-dealers and so-called “funding ...
It's not uncommon for institutional investors to ask an adviser for copies of its last two annual reviews. "I'm more than happy to show it ...
Even though much of the federal government was shut down due to partisan divides in Congress, two dozen executives of business development companies sent the ...
It was the speech that created a stir. This Spring, David Blass, chief counsel in the SEC's Division of Trading and Markets, put the industry ...
With new rules on general solicitation now in effect, buyout shops and their supporters in Washington, D.C., are concerned that a separate set of proposals ...
Today opens up the opportunity for private offerings to be advertised with the elimination of the 80-year ban on general solicitation (IA Watch, July 22, ...