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Private Funds

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The firm failed to obtain verification of client funds and securities by annual actual examinations by an independent public accountant for the calendar years 2017 ...
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Because Forepont did not provide advance disclosure to the limited partners of the Cayman Fund of these material facts concerning the transfers and the associated ...
SEC Chairman Gary Gensler
Gensler tells Congress the final private funds rule "was adjusted in multiple ways based on public feedback on the proposal"
As Washington pressures industry, advice-of-counsel becomes "fertile ground" for litigation
Case illustrates that finance's borders may be shrinking, and private fund managers must be vigilant
Bankers, insurance companies, real estate managers walk with private fund advocates to stop 'fundamental changes' to custody system
"Regulation D, first adopted in the early 1980s, has become one of the most important exemptions for companies looking to raise capital outside of registration. ...
SEC Commissioner Lizarraga
"Income and wealth thresholds are not the sole measure of financial sophistication"
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YieldStreet later determined that the Borrower had stolen the deconstruction proceeds for several ships, including the ship securing the loan in the Vessel Deconstruction VI ...
"Last month, we finalized a rule that, among other things, will require private fund advisers registered with the Commission to provide detailed disclosure to investors ...

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