Private Funds

This is the famous U.S. Court of Appeals' decision from 2006 in the Phillip Goldstein v. SEC case that overturned the Commission's attempt to regulate ...

If your firm has discretionary authority over client assets held outside the U.S. that aren't registered mutual funds and are publicly offered, you likely will ...

If you're an unregistered hedge or private equity fund adviser with more than $150 million in AUM, you should look to early June as your ...

This is a guide to SEC registration designed to help hedge fund and private equity fund advisers understand new registration requirements. This was prepared by ...

You have until April 12th to tell the CFTC what you think of its new proposal to eliminate exemptions that have kept many hedge funds ...

The suspect thought he was so smart he would use pliers to rip apart the evidence and then scatter the debris in the pre-dawn hours ...

Among Dodd-Frank's more controversial reforms are those that would affect only RIAs that are affiliated with a bank. If this captures your firm, be aware ...

Advisers to larger private funds may be taken aback when they glimpse the range of data being sought by the SEC to aid the Financial ...

Thank Dodd-Frank for two new proposed rules advanced by SEC commissioners last week. The more substantial one would force private fund advisers to report either ...

You may know them as researchers, consultants or expert networks. Some advisers are simply calling them trouble, given the recent rash of insider trading cases ...