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The SEC’s aggressive pursuit of penny stock lenders has some advocates worried that the crackdown will inadvertently dry up liquidity in the vital microcap market. ...
New, accredited investor definition triggers issues Private funds should take a new look at their subscription agreements after the SEC’s decision to widen the definition ...
A divided SEC has voted to widen definitions of accredited investors in another step that proponents hope will bring more retail investors into the private ...
A Coral Gables, Fla. private fund adviser and his firm bilked accredited investors out of millions by misrepresenting the funds’ past performance, their firms’ AUM ...
The final rules are tailored to permit investors with reliable alternative indicators of financial sophistication to participate in such investment opportunities, while maintaining the safeguards ...
By the time you finish reading this story, three more of your fellow humans will have developed Alzheimer’s disease. More than 50 million people around ...
The SEC’s recent risk alert on COVID-19 challenges private fund advisers to come up with “creative” solutions to a new, and world-historic, phenomenon, experts tell ...
A Miami private fund adviser incorrectly billed real estate funds it advised $3 million in expense reimbursement, costs that should’ve been billed to its co-investment ...
A private fund manager says he’s confident that he’ll be cleared of French insider trading charges—charges that have already pried him away from the broker-dealer ...
A Miami private fund adviser has been censured and will pay $350,000 in fines to settle SEC claims that it overcharged the real estate funds ...
The cost allocation methodology Rialto used to calculate Third Party Tasks increased general overhead expenses. Rialto did not fully disclose this increase to the Advisory ...
SEC staff are “re-examining” rules that keep Main Street investors out of private, closed-end funds, and considering rules that would allow some retirement funds to ...
In an effort to clarify and simplify compliance with the implementing regulations, the final rule adopts revisions to the provisions that govern the relationship between ...
This guide was designed to help private fund advisers with their annual review. It comes courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, ...
More than three-fifths of private fund CCOs are wearing multiple hats on the job, an analysis of SEC data shows. There were 4,561 private fund ...
The Institutional Limited Partners Association has released a new model limited partnership agreement using a deal-by-deal waterfall structure, in hopes of sparking further discussions about ...
Employees for private fund advisers are betting on the Democrats this year but private funds’ political action committees are still hedging, an analysis of campaign ...
The Institutional Limited Partners Association has issued a comprehensive deal-by-deal model agreement in hopes of avoiding the kind of ongoing conflicts that have snared private ...
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