Summary of private equity firms’ compliance obligations, discussion of notable developments in 2017, and outlook for 2018.
US federal laws and regulations, as well as the rules of self-regulatory organizations (SROs),...more
A roadmap through the various regulations and tax implications can help ensure a successful offering.
Non-US private equity sponsors frequently seek to market their funds to US institutional investors. However, the...more
Summary of private equity firms’ compliance obligations, discussion of notable developments in 2015 and outlook for 2016.
US federal laws and regulations, as well as the rules of self-regulatory organizations (SROs),...more
2/9/2016
/ Anti-Money Laundering ,
Audits ,
CFTC ,
Chief Compliance Officers ,
Conflicts of Interest ,
Cybersecurity ,
FinCEN ,
Fund Managers ,
IRS ,
National Futures Association ,
Popular ,
Private Equity ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
U.S. Treasury ,
Volcker Rule ,
Year-End Compliance Checklist
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)