News & Analysis as of

Private Equity Dodd-Frank Wall Street Reform and Consumer Protection Act Compliance

Latham & Watkins LLP

Private Equity Fund Managers: Annual Compliance Reminders and New Developments

Latham & Watkins LLP on

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

McCarter & English, LLP

Private Equity Websites and General Solicitations: A Case of Overzealous Hypersensitivity?

It’s a well-settled law of physics: for every action, there’s a reaction. In some cases, there’s overreaction – generally best avoided, but a phenomenon to which many private equity funds may have fallen victim. Here, we...more

King & Spalding

Three Disclosure Areas of Focus for Private Equity Firms Given Increased SEC Oversight

King & Spalding on

The private equity space is an area of increased scrutiny for the SEC. The SEC’s Office of Compliance Inspections and Examinations (OCIE) earlier this year announced its intentions to examine a significant percentage of never...more

McCarter & English, LLP

What Private Equity Fund Managers Need to Know About SEC Examinations

Prior to the passage of the Dodd-Frank Act, a private equity manager was exempt from federal regulation under the Investment Advisers Act of 1940 (the “Advisers Act”) so long as it managed fewer than 15 private equity funds....more

Akerman LLP

SEC Notes Growing Concern About Private Equity Fee Disclosures

Akerman LLP on

Recent comments by Andrew Bowden, Director of the Office of Compliance Inspections and Examinations for the Securities and Exchange Commission (SEC), highlight the growing tension between Dodd-Frank compliance and fund...more

Stinson - Corporate & Securities Law Blog

SEC Exam Priorities Include Newly Registered Hedge Fund And Private Equity Advisors

The SEC has announced its examination priorities for 2014, which cover a wide range of issues at financial institutions, including investment advisers and investment companies, broker-dealers, clearing agencies, exchanges and...more

Dechert LLP

Financial Services Quarterly Report - Second Quarter 2013: The U.S. Federal Reserve Board Charts an Independent Course in the...

Dechert LLP on

The Board of Governors of the Federal Reserve System (“Board”) in December 2012 issued a proposed rule under the Dodd-Frank Act (“DFA”) for the enhanced supervision of foreign banking organizations (“FBOs”) and any foreign...more

Katten Muchin Rosenman LLP

Volcker Rule Conformance Period Clarified

The Federal Reserve Board on April 19 clarified that an entity covered by section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, or the so-called Volcker Rule, has the full two-year period provided by...more

Skadden, Arps, Slate, Meagher & Flom LLP

"Insights Special Edition: Dodd-Frank Rulemaking: Volcker Rule and SIFI Proposals: Hedge Fund and Private Equity Fund Sponsorship...

The Volcker Rule prohibits a banking entity from sponsoring or investing in a hedge fund or private equity fund, subject to certain exceptions. The proposed regulations expand the definitions of “hedge fund” and “private...more

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