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Results 1 to 5 of 139



SEC warns on outsourced chief compliance officers

USA - November 30 2015 The SEC's Office of Compliance Inspections and Examinations, or OCIE, recently issued a risk alert titled "Examinations of Advisers and Funds That…


SEC provides guidance on venture capital fund advisers exemption

USA - September 27 2015 Investment advisers to venture capital funds are exempt from registration under the Investment Advisors Act if certain requirements are met. Amongst…


Minnesota adopts crowdfunding law

USA - June 15 2015 Minnesota has adopted an intrastate crowdfunding exemption referred to as "MNvest." The legislation is meant to work in tandem with the federal…

Co-authors: Stephen M. Quinlivan, David Jenson.


Exercising registration rights did not violate fiduciary duties

USA - May 28 2015 Molycorp, Inc. is a publically traded Delaware corporation engaged in a the production and sale of rare earth oxides. Private equity investors held…


OCIE speaks on private equity deficiencies

USA - May 14 2015 Marc Wyatt, Acting Director, Office of Compliance Inspections and Examinations, of the SEC, recently gave his views on serious deficiencies found in…

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