Julia Corelli

Julia Corelli

Pepper Hamilton LLP

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The EU’s Alternative Investment Fund Managers Directive: Marketing Impact On Non-European Fund Managers

Alternative investment fund managers based outside the European Economic Area (EEA) who wish to market their alternative investment funds (AIFs) to European investors are rightly concerned about additional restrictions and...more

9/5/2013 - AIFM AIFMD Compliance Disclosure Requirements EU FCA Fund Managers Marketing Penalties Private Placements

Investment Funds Need To Be Aware: Broker-Dealer Private Placement Compliance Requirements Are Now In Effect

New FINRA Rule 5123 is now applicable and investment funds need to be cognizant of its requirements. Approved last June, Rule 5123 requires FINRA member firms (principally broker-dealers) participating in private placements...more

2/6/2013 - Broker-Dealer Compliance Filing Requirements FINRA Fundraisers Investment Funds JOBS Act Private Placements SEC

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