Private Equity

In speeches and a sweep letter, the SEC demonstrates it is moving determinedly toward eyeing private equity fund advisers for signs that clients are being ...

The SEC issued this no-action letter in reference to an entity that sort assurance it needn't register as an Investment Company fund.

We told you about the recent SEC FAQ indicating a private equity fund adviser that potentially could sell short or borrow large amounts would transform ...

OCIE officials have made no secret that they're going to set their sights on many of the newly registered private fund advisers (IA Watch, March ...

While OCIE won't divulge everything that goes into its risk assessment when picking out exam targets, director Carlo di Florio ticked off potential areas for ...

Last year NASAA put forth a model rule for states to exempt from investment adviser registration certain private fund advisers. This month Massachusetts became the ...

It doesn't appear that the SEC's sweep letter has gone to many private equity fund advisers but the consensus around the 4-page document is that ...

You should be able to take the new Form ADV, Part 1 for a test drive beginning today - if you want to see how ...

This is the 2011 final rule from the SEC laying down the rules for advisers to private funds, some commodity pool operators and trading advisers ...

This is a diagram created and shared with permission of the law firm Gibson Dunn. It provides a visual guide for IA registration consistent with ...