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The new SEC advertising rule may someday be seen as a case of being careful what you wish for. Private fund advocates and others had ...
The chairman of a venture capital fund that shook down its own employees has been sentenced to six years in federal prison, prosecutors in the ...
A Park Avenue private equity real estate adviser promised his clients lavish returns at low risk—and built an empire made of sand and fog, federal ...
Private fund adviser compliance officers are still digesting the SEC’s new advertising rules but for now they can give thanks for what’s not in the ...
“There is only one thing worse than being talked about,” said Oscar Wilde, “and that is not being talked about.” Private fund CCOs might beg ...
Pension plan fiduciaries don’t have to cast every one of their clients’ proxy votes but whatever decision they make must be made “prudently and solely ...
Eagle-eyed reader Rob van Grover says he’s found a “foot fault” in the SEC’s new definition of accredited investors and suggests that private fund advisers ...
OCIE’s recent risk alert on branch office businesses may well offer some lessons to the broader industry, a top regulatory lawyer tells RCW. The risk ...
State regulators and Democrats at the SEC have been increasingly vocal that Reg. D offerings have to be brought to heel. Their words are likely ...
Of the 16 registered private funds that faced discipline this year, only one disclosed a pending SEC enforcement matter in advance.
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