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
2/26/2015
/ Chief Compliance Officers ,
Compliance ,
Dodd-Frank ,
Fund Managers ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
Private Equity ,
Private Equity Funds ,
Regulation D ,
Securities and Exchange Commission (SEC)
Offerings of private investment fund interests routinely rely on Rule 506 of the Regulation D “safe harbor” from registration under the Securities Act of 1933. Historically, such offerings have been strictly required to avoid...more
10/24/2013
/ Bad Actors ,
Disqualification ,
Dodd-Frank ,
General Solicitation ,
JOBS Act ,
Registration ,
Regulation D ,
Rule 506 Offerings ,
Safe Harbors ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC)