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UK private equity transactions: the essential differences from the US market

United Kingdom, USA - May 4 2015 A US private equity fund seeking to acquire a target in the UK will soon notice a number of differences from the US market. It is important to be…

Nicholas Plant, Andrea C. Johnson, Steven L. Rist

Private equity fund held liable for pension shortfall of its portfolio company

USA - July 31 2013 On July 24, 2013, the US Court of Appeals for the First Circuit determined that a private equity fund, which operated and managed the portfolio…

Denise M. Tormey, Stephen M. Fields, Jane A. Meyer, Carole Neville

SEC adopts final rules defining scope of "family office" exclusion from the definition of "investment adviser"

USA - July 20 2011 The U.S. Securities and Exchange Commission recently adopted Rule 202(a)(11)(G)-1 under the Investment Advisers Act of 1940 defining the scope of the "family office" exclusion from the definition of investment adviser.

Walter Van Dorn, Ira Roxland, Curtis Stefanak

SEC adopts rules implementing new regulatory regime for investment advisers

USA - July 20 2011 The U.S. Securities and Exchange Commission recently adopted a series of new rules and amendments to existing rules under the Investment Advisers Act of 1940 so as to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to the registration of investment advisers, including private fund managers.

Walter Van Dorn, Ira Roxland, Curtis Stefanak

The new regulatory regime for investment advisers

USA - December 22 2010 On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act")1, which, among other things, repealed the "private adviser" exemption from registration with the Securities and Exchange Commission ("SEC") under the Investment Advisers Act of 1940 (the "Advisers Act") for private advisers with fewer than 15 clients who neither hold themselves out to the public as investment advisers nor act as advisers to registered investment companies.

Michael E. Zolandz, Walter Van Dorn, Mike McNamara, Sara Werner