Private Funds

Clearer lines have been drawn to help registered investment companies that are feeder funds or fund of funds understand when they can issue unconsolidated financials ...

Entities are increasingly popping up whose business model is based specifically on providing “accredited investor” certification services. “The need is out there due to the ...

The Securities and Exchange Commission Today Announced an Enforcement Action Against the Estate of Vincent James Saviano (Saviano) and His Firm Palmetto Investments LLC (Palmetto ...

This is the Advisers Act dealing with Form PF

(a) Prohibition. It shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business within the meaning of section 206(4) of the Act ...

(a) United States investment advisers. For purposes of section 203(m) of the Act (15 U.S.C. 80b-3(m)), an investment adviser with its principal office and place ...

The Investment Advisers Act of 1940Section 204 -- Reports by Investment Advisers Every investment adviser who makes use of the mails or of any means ...

Hedge fund advisers are having some advertising and marketing compliance issues and 2015 will see SEC examiners focus on retiring investors. These nuggets were among ...

Hedge fund advisers lured by rapid growth in the more than $300 billion alternative mutual funds market are increasingly becoming involved with the funds either ...

Faking research expenses, portfolio pumping and marking the close are all featured in an SEC enforcement action announced this month against a Minneapolis-based hedge fund ...