Private Funds

Many predicted hedge fund registration this year and a bill has been introduced in Congress - the Hedge Fund Transparency Act of 2009 - that ...

If you needed one more sign that the government's likely to mandate registration of hedge funds, consider a new report from the President's Working Group ...

IA Week has learned that FINRA has directed select broker-dealers to send it information to verify the level and scope of investment advisory and hedge ...

Picture this: A fund you're considering investing with uses an accounting firm you've never heard of. You hire a private investigator to stake out the ...

This no-action letter from the SEC in 2007 concerns so-called hedge clauses in client indemnification agreements. The SEC withdrew this letter in 2019.

Deloitte & Touche LLP: No-Action letter dated August 28, 2006 Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-2 August 28, 2006 RESPONSE OF ...

Investment Advisers Act of 1940: Section 203(b)(3) and Rule 203(b)(3)-1 and 203(b)(3)-2 ABA Subcommittee on Private Investment Entities December 8, 2005 Robert Todd Lang, Chair, ...

Investment Company Act of 1940 – Section 3(c)(1) and 3(c ) (7) The Goldman Sachs Group, Inc. March 8, 2005 RESPONSE OF THE OFFICE OF ...

Investment Company Act of 1940 – Section 15(a)Gartmore Mutual Funds March 19, 2004 Our Ref. No. 20039291130 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION ...