Fund Managers Investment Adviser

News & Analysis as of

SEC Proposes Rules to Enhance Information Reported by Investment Advisers

The proposed rules would require expanded reporting about separately managed accounts and other aspects of an adviser’s business, allow consolidated registrations for certain private fund advisers that operate a single...more

Fund and Adviser Tax Issues [Video]

Pepper partners Gregory J. Nowak and Steven D. Bortnick presented a webinar for West LegalEdCenter discussing issues that affect private funds and their managers. Over the hour program, Mr. Nowak and Mr. Bortnick covered a...more

FSOC Presses SEC on Money Managers’ Systemic Risks

The SEC is stepping lively to preserve a role in formulating any additional requirements for money managers—such as mutual funds and investment advisers—to limit perceived risks to the financial system. Although the...more

This Week In Securities Litigation

The SEC filed one new action this week – an administrative proceeding involving the principal of an investment adviser and undisclosed conflicts of interest. The Commission also amended a complaint in an insider trading...more

Private Equity Fund Managers: Annual Compliance Reminders and New Developments

A summary of a private equity firm’s compliance obligations, a discussion of notable developments in 2014 and highlights of the SEC’s examination priorities for 2015. US federal laws and regulations, as well as the...more

SEC to Require Living Wills and Stress-Testing for Investment Advisers

In a speech on December 11, 2014, SEC Chair Mary Jo White announced three broad “proactive initiatives” to address the risks of “increasingly complex portfolio composition and operations” in the asset management industry. ...more

Private Equity: The Next Wave of SEC Enforcement Actions?

Ever since the Dodd-Frank Wall Street Reform and Consumer Protection Act required many investment advisers to private equity funds to register with the SEC for the first time, fund managers knew that additional scrutiny might...more

SEC Wins Asset Freeze Over Funds

Hedge funds are a continuing focus for the SEC. This week the Commission filed an action against two fund managers and an adviser alleging that they fabricated performance reports furnished to investors. The Court granted a...more

Strategic Considerations for Start-Up Private Equity Fund Managers

Unprecedented barriers of entry — from the uncertainty of Dodd-Frank reforms to the economic downturn — have presented roadblocks to aspiring private equity fund managers in recent years. ...more

SEC Issues New Custody Guidance to Private Fund Managers

The Securities and Exchange Commission recently issued an IM Guidance Update (the Interpretative Letter) setting forth new interpretative guidance under the Investment Advisers Act of 1940 (as amended, the Advisers Act) to...more

"SEC Staff Warns That Advisers May Be Required to Register as Broker-Dealers"

On April 5, 2013, David W. Blass, Chief Counsel of the Securities and Exchange Commission’s Division of Trading and Markets, addressed the American Bar Association’s Trading and Markets Subcommittee.1 Mr. Blass’ remarks...more

Recent SEC Actions Focus on Broker-Dealer Activity of Private Funds, Highlight Perils, and Generate Controversy

A recent public statement by a member of the senior staff (“Staff”) of the Securities and Exchange Commission (“SEC”) and recent SEC enforcement actions have reminded private equity and other private fund managers (such as...more

SEC Announces 2013 Examination Priorities for the Investment Management Industry

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has published its list and discussion of examination priorities for the investment management industry in 2013, which includes both market-wide initiatives...more

BVI & Cayman Investment Funds Comparison Overview

This table provides a basic comparison of key features of BVI and Cayman investment funds in areas including legal structures, types of funds available and regulatory issues. Updated February 2013. Please see full table...more

CFTC 4.13(a)(3) Annual Affirmations Due by March 1st

As a reminder, fund managers relying on the exemption from registration with the U.S. Commodity Futures Trading Commission (the "CFTC") set forth in Rule 4.13(a)(3), commonly referred to as the “de minimis exemption,” must...more

UK Treasury Publishes First Consultation on AIFMD Implementation

On 11 January 2013, HM Treasury published its first consultation on Alternative Investment Fund Managers Directive (AIFMD) implementation in the UK, entitled "Transposition of the Alternative Investment Fund Managers...more

European Commission Publishes AIFMD, Level 2, Implementing Regulation

Adoption of the regulation accelerates implementation of the Alternative Investment Fund Managers Directive throughout the EU. The European Commission adopted the long-heralded Alternative Investment Fund Managers...more

New UK Distribution Rules Effective December 31 – the Impact on Fund Managers

The UK’s Retail Distribution Review (“RDR”) comes into force on December 31, 2012. Despite its title, the RDR will not be limited to the protection of investors that might traditionally be considered to be retail. The RDR may...more

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