Private Funds

The Institutional Limited Partners Association permits RCW to include a link to the group's latest template to help private equity fund advisers report their fees and ...
Congress is weighing legislation that would require investment advisers and other “gatekeepers” to develop and maintain anti-money laundering policies and procedures. If passed, the ENABLERS ...
The notorious GameStop raid that knocked world markets on their haunches was just what it appeared to have been: a bunch of self-described “degenerates” having ...
'Private funds are under the microscope'
Nearly half of private fund advisers are trying to sub-contract their way out of their fiduciary duties, a trade association for pension and foundation managers ...
SEC Commissioner Allison Herren Lee has endorsed calls for the Commission to change the definition of “shareholder of record” for exempt private funds. “Time and ...
From the fine folks at Iron Road Partners (and former SEC examiner Igor Rozenblit) comes these tips on how to handle examinations.   
When a "control agreement" doesn't make a control group
The founder of an Orange County private fund adviser bungled his firm’s entry into the industry, its custody of client funds, its compliance program, its ...
State securities regulators opened 196 investigations of exempt private fund advisers last year, bringing 67 new enforcement cases, NASAA says in its latest annual report. ...
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