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IRS Extends FATCA Registration Deadline to May 5, 2014

HIGHLIGHTS: - Foreign financial institutions must perform due diligence to identify their U.S.-owned accounts and report them to the IRS, as well as act as a withholding agent for payments to other foreign entities....more

FINRA Amends Its Rule 5131 to Ease "New Issues" Compliance Related to Certain Funds-of-Funds

FINRA, the Financial Industry Regulatory Authority, has amended Rule 5131, which addresses new issue allocations and accommodations, to provide certain compliance accommodations related to certain fund-of-funds. In the...more

SEC Expands Ability of Employees to Invest into In-House Private Funds

The SEC's Division of Investment Management has issued a No-Action Letter that expands the pool of possible employee investors in in-house private funds. While the SEC's new in-house investment flexibility may help those who...more

Immediate Action Item for Private Funds and Their Managers: Prepare and Distribute "Bad Actor" Questionnaires

As widely reported, the Securities and Exchange Commission (SEC) approved a final rule effective Sept. 23, 2013, that prohibits a fund relying on the vital Regulation D/Rule 506 exemption from SEC registration if the issuer...more

Reminder for Private Fund Managers Who Sell Their Funds in the EU: New Rules Now in Effect

The Alternative Investment Fund Managers Directive (AIFMD or Manager Directive) of the European Union, which went into effect on July 22, 2013, sets forth rules for managers of private alternative investment funds that will...more

Advertising Permitted with Strings Attached: Significant New Offering Rules for Private Funds and Their Managers

On July 10, 2013, the Securities and Exchange Commission (the SEC) approved a final rule making changes to Rule 506 of the Securities Act of 1933 (the most widely used and important exemption from federal and state...more

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