Private Funds

This is a final rule released by the SEC late in 2012 to extend the principal trading exception until Dec. 31, 2014.
Now it's the turn for eight former board members of five mutual funds. They face legal action over alleged failings in carrying out their duties ...
A peer shares this tool, which is a questionnaire designed to be sent to subadvisers to discover the extent of investments in commodities and other ...
With two recent no-action letters, the CFTC has made the holiday season for advisers to family offices and fund of funds. But these advisers have ...
Joseph Massoud, the founder of buyout firm Compass Group Management settled insider trading charges the Securities and Exchange Commission had brought against him.
If your firm participates in lending client securities - for example, for short selling arrangements - you should review the practice annually.You also should do ...
With a December 31st deadline bearing down to register as a commodity pool operator or commodity trading advisor and unanswered questions for fund of funds ...
Many believe it's only a matter of time before the SEC finalizes its general solicitation proposal, opening up private fund offerings to advertising (IA Watch, ...
All signs point to a relaxation of the ban on general solicitation of private fund offerings as long as sales go to accredited investors. But ...
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