Private Funds

If you hire advisers at a hedge fund, private equity, venture capital, real estate or funds of funds to manage a portion of your clients' ...

This is a 2014 rule from the CFTC related to the Volcker Rule. It's entitled Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, ...

Five years after the financial crisis, regulators continue to struggle in determining whether asset managers deserve special attention for potentially posing a systemic risk. U.S. ...

Simplicity and growth are two reasons more advisers that manage exempted 3(c)(1) pooled funds are looking to fold them into the larger 3(c)(7) fund structure. ...

SEC settles with Merrill Lynch for violations related to its structuring and marketing of a series of collateralized debt obligation (CDOs) transactions.

The staff would not object if the Firm aggregated the investor’s investments in all of the private funds advised by the related investment advisers that ...

Your views will be confirmed in the new study of The Cost of Compliance, which finds, as expected, that more regulations gin up the costs ...

Today opens up the opportunity for private offerings to be advertised with the elimination of the 80-year ban on general solicitation (IA Watch, July 22, ...

With only five weeks to go before the SEC's new so-called "bad actors" rule takes effect, advisers are struggling to come up with an approach ...

SEC Halts Fraud by Ohio-Based Hedge Fund Manager