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…
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).
USA - February 23 2012 On Tuesday, January 31, 2012, the SEC hosted its annual Compliance Outreach Program National Seminar.
USA - January 25 2012 Regulation D’s ban on general solicitation and advertising has come under fire in recent months.
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.