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What Are Co-Investments?

USA - February 19 2021 A co-investment opportunity is an invitation to invest alongside a fund manager’s private fund (the “Main Fund”) in a specific underlying portfolio…

Darina F. Delappe, David Yanvarashvili.

SEC Adopts New Marketing Rule

USA - January 4 2021 The Securities and Exchange Commission (SEC) announced on Dec. 22, 2020, that it has finalized amendments to the current advertising rule (Rule…

David Yanvarashvili.

Second Circuit Addresses Disgorgement of Short-Swing Profits by Hedge Funds and Their Investment Advisers

USA - December 1 2020 On November 23, 2020, the Second Circuit Court of Appeals issued an opinion by Judge Jon O. Newman in Packer v. Raging Capital Management, reversing a…

Abbe L. Dienstag, Alan R. Friedman, Reyhan Watson.

OCIE Warns of Increased ‘Credential Stuffing’ Cyberattacks on Investment Advisers, Broker-Dealers

USA - October 1 2020 The Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) has published a risk alert, warning…

Alan R. Friedman, Arielle Warshall Katz, Samantha V. Ettari.

SEC Proposes Amendments to Update Form 13F

USA - July 15 2020 The Securities and Exchange Commission (SEC) has recently proposed to amend the reporting threshold and make certain other changes to Form 13F. It…

David Yanvarashvili.