Public and private pension plans, endowments, hedge funds and other institutional investors are investing trillions of dollars annually with alternative asset managers. Many of these fund managers are well-established with a...more
11/21/2017
/ Asset Management ,
CFOs ,
Department of Labor (DOL) ,
Due Diligence ,
Employee Retirement Income Security Act (ERISA) ,
Fund Managers ,
Individual Retirement Account (IRA) ,
Institutional Investors ,
Investment Adviser ,
Investors ,
Pension Funds ,
Recordkeeping Requirements ,
Reporting Requirements ,
Retirement Plan
When looking to raise capital, broker-dealer compliance may not be at the forefront of a private fund manager’s mind. However, engaging individuals (including the fund manager’s employees) or firms to identify, introduce or...more
11/21/2017
/ Bad Actors ,
Broker-Dealer ,
Fund Managers ,
Investment Adviser ,
Investors ,
Issuer Exemption ,
Private Funds ,
Registration Requirement ,
Section 15(c) ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Solicitation