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The Volcker Rule . . . finally

USA - December 13 2013 On December 10, 2013, five federal agencies issued the long-awaited final rules implementing Section 619 of the Dodd-Frank Wall Street Reform and…

Shannon M. Thompson.

SEC FAQ on family office definition

USA - February 23 2012 The SEC has answered 13 “frequently asked questions” regarding the definition of a “family office” that is excluded from regulation as an investment adviser under the Advisers Act (see our July 20, 2011, issue of Buy-Side Roundup for more on the family office exclusion).

Sylvie A. Durham.

SEC investment adviser and investment company Compliance Outreach Program National Seminar

USA - February 23 2012 On Tuesday, January 31, 2012, the SEC hosted its annual Compliance Outreach Program National Seminar.

Sylvie A. Durham.

Requests for repeal of private offering ban on general solicitation and advertising

USA - January 25 2012 Regulation D’s ban on general solicitation and advertising has come under fire in recent months.

Barbara P. Alonso, Sylvie A. Durham.

Upcoming registration and reporting deadlines

USA - January 25 2012 As part of the implementation of the Dodd-Frank Act, all investment advisers (including private equity, venture capital and hedge fund managers) with at least $25 million in assets under management must either (i) register or update their existing registration with the SEC or their home state regulator or (ii) file a report with the SEC as an exempt reporting adviser, in each case electronically on Form ADV.

Barbara P. Alonso, Sylvie A. Durham.