On April 7, 2020, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced that, after the initial June 30, 2020 compliance date to file Form CRS, the OCIE will conduct...more
6/8/2020
/ 401k ,
Broker-Dealer ,
Form ADV ,
Form CRS ,
IARD ,
Individual Retirement Account (IRA) ,
Investment Adviser ,
OCIE ,
Retail Investors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
In November 2019, the Securities and Exchange Commission released proposed amendments to Rule 206(4)-1 (Advertising Rule) under the Investment Advisers Act of 1940 (Advisers Act). The Advertising Rule was first adopted in...more
1/31/2020
/ Advertising ,
Best Practices ,
Comment Period ,
Financial Regulatory Reform ,
Form ADV ,
Fund Sponsors ,
Investment ,
Policies and Procedures ,
Private Investment Funds ,
Proposed Amendments ,
Proposed Rules ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Solicitation ,
Solicitation Provisions
Investors in private equity funds need to come in with their eyes open, with consideration given to where and what the pitfalls are, as well as what opportunities exist for avoiding them and perhaps improving the terms of the...more
7/25/2019
/ Co-Investment Rights ,
Conflicts of Interest ,
Due Diligence ,
Financial Markets ,
Form ADV ,
Fund Managers ,
Investment ,
Investment Opportunities ,
Leveraged Finance ,
Private Equity ,
Private Placements
The current environment for early-stage investing with emerging managers reflects an increasing number and variety of early-stage investments firms, an increasing pool of talented emerging managers, and a growing number and...more
7/28/2015
/ Asset Management ,
Filing Requirements ,
Form ADV ,
Hedge Funds ,
Investment ,
Investment Management ,
Investors ,
Joint Venture ,
Partnership Agreements ,
Securities and Exchange Commission (SEC) ,
Volcker Rule