Excerpt from Question 1:
Your firm is visited by the SEC or state regulator for a routine regulatory examination and you enlist a law firm or consultant to help guide you through the process. Who pays the legal or...more
In This Presentation:
- Agenda
- Typical Fund Structure
- Typical Fund Waterfall
- Fund Economics- Nuances
- LPA Provisions
- Fund Due Diligence
- Legal Landscape
- PEI...more
10/10/2014
/ Asset Management ,
Bank Holding Company Act ,
Employee Retirement Income Security Act (ERISA) ,
FOIA ,
General Partnerships ,
Internal Revenue Code (IRC) ,
Investment Company Act of 1940 ,
Investment Management ,
Legal Entities ,
Management Fees ,
Patriot Act ,
Private Equity ,
Private Equity Funds ,
Securities Act of 1933 ,
Securities Exchange Act ,
Transaction Fees
Few people following the crowdfunding space have been able to ignore the recent meteoric rise of online direct lending, often called “peer-to-peer” (P2P) lending. What started out as a simple one-to-multiple consumer lending...more
On April 1, 2014, the final regulations implementing the “Volcker Rule” became effective. The regulations were jointly adopted on December 10, 2013 by the Board of Governors of the Federal Reserve System (FRB), the Office of...more
Investors in private equity funds (Funds) typically invest in blind pools, under which passive investors commit to invest a designated amount of cash in a Fund over an investment period while relying solely upon the Fund’s...more
Much has been written about the importance of succession planning as a pillar of a firm’s culture and its ability to retain talent. Much has also been written about the importance to investors about cultivating long-term...more
Launching a new hedge fund or private equity fund can be one of the most exciting and rewarding ventures a person will ever undertake-and it can also be the most challenging, given today's competitive and demanding investing...more
Launching a new hedge fund or private equity fund can be one of the most exciting and rewarding ventures a person will ever undertake-and it can also be the most challenging, given today's competitive and demanding investing...more
Launching a new hedge fund or private equity fund can be one of the most exciting and rewarding ventures a person will ever undertake-and it can also be the most challenging, given today's competitive and demanding investing...more
Alternative investment fund managers based outside the European Economic Area (EEA) who wish to market their alternative investment funds (AIFs) to European investors are rightly concerned about additional restrictions and...more
Beyond the general aspects of the U.S. Securities and Exchange Commission (SEC)’s new JOBS Act rules previously discussed in this series of articles, issuers who rely on new Rule 506(c) for an onshore offering and Regulation...more
Interest in co-investment opportunities has increased over the years due to investor demands for lower-cost investments and the need of fund sponsors to differentiate themselves from other private equity firms. As...more
Originally Published in The Legal Special 2013 - A Private Equity International Supplement on April 1, 2013.
Interest in co-investment rights has spiked recently as institutional and other fund investors have sought to...more
New FINRA Rule 5123 is now applicable and investment funds need to be cognizant of its requirements. Approved last June, Rule 5123 requires FINRA member firms (principally broker-dealers) participating in private placements...more