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SEC Revises Marketing Rule for Registered Investment Advisers

USA - February 9 2021 On December 22, 2020, the Securities and Exchange Commission (“SEC”) adopted amendments to existing Rule 206(4)-1 (the “Advertising Rule”) and…

Anthony M Drenzek, Robert E Plaze, Christopher M Wells.

BE-180 Deadline Approaching for Certain Fund Managers

USA - September 24 2020 The BE-180 report issued by the U.S. Commerce Department’s Bureau of Economic Analysis (the “BEA”) is a five-year Benchmark Survey that…

Howard J Beber, Anthony M Drenzek, Robert G Leonard, Michael F Mavrides, Weixiao Sun, Christopher M Wells.

“Side Car” Funds - Solutions for Sourcing Capital

USA - July 1 2020 Given the current market volatility resulting from the COVID-19 pandemic, many fund sponsors are seeking additional sources of capital to protect…

Emily O'Brien.

SEC Releases Risk Alert Identifying Common Private Equity and Hedge Fund Compliance Deficiencies

USA - June 30 2020 On June 23rd, the staff of the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a new risk…

Anthony M Drenzek, Robert G Leonard, Robert E Plaze, Samuel J. Waldon.

The Impact of COVID-19 on Fund Finance Facilities: What to Consider Now and What to Do Next

USA - April 7 2020 The novel coronavirus (COVID-19) global pandemic presents significant challenges for private investment funds and their sponsors. While the situation…

Ron D. Franklin, Jinyoung Joo, Amanda H Nussbaum, Cameron A. Roper.