Private Funds

This is likely an SEC document request letter sent as part of OCIE's “presence exam” initiative in 2012. This went to a private equity fund ...
An answer out of London last week should prompt non-E.U. private fund advisers wishing to sell into the U.K. to say "cheers." They won't have ...
One view holds that the recent speech by the SEC's David Blass simply spotlighted the agency's long-standing position on what types of transactions warrant an ...
The anticipated approval of a rule eliminating the prohibition on the general solicitation of private funds is already creating jobs - for entrepreneurs who envision ...
Something didn't seem right from the beginning. The client sent the firm an e-mail stating he was out of town and asking the adviser to ...
On the basis of this Order and Respondents’ Offers, the Commission finds that: 1. Between January 1, 2007 and September 3, 2009, the relevant time period ...
Last month we warned private fund advisers that the SEC might question whether you should register as a broker-dealer (IA Watch, March 18, 2013). Now ...
This is a joint SEC and CFTC final rule, promulgated in 2013, to prevent identity theft. It's called the Identity Theft Red Flags Rules.
This is an example of how to calculate the level of risk for a given item. This comes courtesy of Joan Berger, GC/CCO with Pzena ...
Nearly one in three respondents to a recent hedge fund survey fear that they would be retaliated against if they reported wrongdoing internally. Close to ...
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