These are the 14 new Form PF FAQs released by the SEC in March 2013.
If you market private funds into the EU, you should know that the new regulatory structure known as the Alternative Investment Fund Managers Directive (AIFM) ...
Stephens settled with the SEC for operating as an unregistered broker and earning transaction-based income in luring clients to a private equity fund adviser.
This settlement of an SEC enforcement case zeroes in on the issue of a private equity fund operating as an unregistered broker and earning transaction-based ...
These advisers were charged with poor compliance P&Ps for not requiring a review of portfolio manager valuations and that were not reasonably designed to ensure ...
As debate drags on over the Volcker Rule, banks are settling in for the long haul. Those that have decided to exit the buyouts game ...
This is a 2013 SEC filing that raises the civil money penalties amounts.
Insider trading. Misappropriated money. Money raised from later investors used to pay interest to early investors. None of those things has happened in the private-equity ...
Mark March 1 on your calendar if your firm manages a large hedge fund and April 30 if it operates a sizable private equity fund. ...
This is an interim final rule released by the SEC in 2013 that extends the exemption from certain security-based swap rules until Feb. 11, 2014.