The United States represents a large source of potential capitalthat non-U.S. fund managers often find impossible to ignore. To assist non-U.S. fund managers, we have prepared a checklist that sets out key considerations for...more
7/6/2022
/ Accredited Investors ,
Advertising ,
Blue Sky Laws ,
CFTC ,
Due Diligence ,
Employee Retirement Income Security Act (ERISA) ,
Form D Filing ,
Fund Managers ,
Investment Company Act of 1940 ,
Investors ,
Non-US Entities ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Solicitation ,
Tax Exemptions ,
Venture Capital ,
Volcker Rule
On June 17, 2021, the SEC issued an order (the “Order”) to adjust for inflation the dollar amount thresholds that determine when an investor is a “qualified client” under Rule 205-3 of the Investment Advisers Act of 1940, as...more
On August 26, 2020, the Securities and Exchange Commission (SEC) adopted an expanded definition of “accredited investor” in Rule 501(a) under the Securities Act of 1933, as amended (Securities Act).
Part of an effort “to...more
9/16/2020
/ Accredited Investors ,
Capital Markets ,
Certifications ,
Family Offices ,
Federal Register ,
Investment Adviser ,
Investment Company Act of 1940 ,
Investors ,
Limited Liability Company (LLC) ,
Private Funds ,
Rural Business Investment Companies (RBICs) ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC)
On July 15, 2019, the Securities and Exchange Commission (SEC) and North American Securities Administrators Association (NASAA) staffs released a joint statement (the “Statement”) addressing compliance implications for...more
7/19/2019
/ Investment Company Act of 1940 ,
NASAA ,
Opportunity Zones ,
Qualified Opportunity Funds ,
Regulation A ,
Regulation CF ,
Regulation D ,
Rule 506 Offerings ,
Securities and Exchange Commission (SEC) ,
Tax Cuts and Jobs Act ,
Tax Exemptions