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.
Results 1 to 5 of 5
Most popular |Most recent

Recent SEC actions focus on broker-dealer activity of private funds, highlight perils, and generate controversy

USA - April 22 2013 A recent public statement by a member of the senior staff ("Staff") of the Securities and Exchange Commission ("SEC") and recent SEC enforcement...

Edward L. Pittman, Elliott R. Curzon, Kenneth E. Young, David A. Vaughan.

Lessons for PE Managers from the SEC’s Ongoing Scrutiny of Private Equity Funds

USA - March 24 2016 A large number of private equity managers were required to register for the first time with the U.S. Securities and Exchange Commission (SEC)...

Gary E. Brooks, David A. Vaughan, James E. B. Bobseine.

LPs like what they see in ILPA guidelines

USA - August 12 2010 In September 2009, the Institutional Limited Partners Association (the "ILPA"), an organization of some 215 institutional investors, released a set of private equity principles intended to establish "best practices" guidelines for the private equity industry (the "Guidelines")....

Roger Mulvihill.

Summary steps: investment adviser registration

USA - December 13 2010 Pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act"), an investment adviser which acts solely as an adviser to private funds1 will be required to register with the Securities and Exchange Commission (the "SEC") as a registered investment adviser (an "RIA") under the Investment Advisers Act of 1940, as amended (the "Advisers Act") upon reaching $150 million of assets under management2 in the United States....

George Mazin.

Private equity WinterSpring 2013

USA - April 25 2013 Every private equity fund formation is unique, but after more than three years of the ILPA Guidelines (the Guidelines) and one comprehensive revision...

Gus Black, Roger Mulvihill, Daniel M. Dunn, Kenneth C. Wang, Steven J. Lorch.