We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Articles

Results 1 to 4 of 4
Most popular |Most recent


New SEC Disclosure Requirements on Form ADV Become Effective October 1

USA - September 26 2017 Investment advisers should prepare for new Form ADV disclosure requirements that will go into effect on October 1, 2017 pursuant to rules adopted last...

Amran Hussein, Matthew B. Goldstein, Aubry D. Smith, Jyoti Sharma, Michael S. Hong, Lindsey L. Wiersma, Philip A. Heimowitz, Udi Grofman, Stephanie R. McCavitt, Marco V. Masotti.

SEC Lists the Five Most Frequent Compliance Topics Identified in Examinations of Investment Advisers

USA - February 8 2017 On February 7, 2017, the Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") identified the...

Amran Hussein, Matthew B. Goldstein, Aubry D. Smith, Jyoti Sharma, Michael S. Hong, Lindsey L. Wiersma, Philip A. Heimowitz, Udi Grofman, Stephanie R. McCavitt, Marco V. Masotti.

Registration and reporting implications of the Private Fund Investment Advisers Registration Act

USA - August 19 2010 On July 21, 2010, President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") into law....

Karen J. Hughes, Stephanie R. McCavitt.

Placement agents and public pension plans: the changing landscape

USA - September 9 2009 Placement agents are commonly used by investment managers to perform a variety of services, including introducing managers to prospective investors, advising managers on marketing strategies and assisting managers in developing marketing materials....

Amran Hussein, Adam B. Hahn, Marco V. Masotti.