Kyle Warbinton

Katten Muchin Rosenman LLP

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April Welcomes More Flexible Co-Investment Exemptive Relief Under the Investment Company Act of 1940

On April 3, the US Securities and Exchange Commission (SEC) approved an exemptive application1 that allows for a more flexible co-investment transaction approval process. This new relief simplifies the process followed by...more

4/14/2025 / Board of Directors , Fund Managers , Investment Company Act of 1940 , Investment Funds , Investment Management , Policies and Procedures , Private Funds , Registered Funds , Regulatory Requirements , Securities and Exchange Commission (SEC)

March Brings New Beginnings: SEC Approves Multi-Share Class Exemptive Relief for Private BDCs and Certain Registered Closed-End...

Since March 12, 2025, the US Securities and Exchange Commission (SEC) has approved multiple applications for multi-share class exemptive relief for private business development companies (BDCs) and certain registered...more

4/8/2025 / Capital Formation , Exemptions , Investment Advisers Act of 1940 , Investment Funds , Investment Management , Private Funds , Registered Investment Advisors , Rule 506(c) , Securities and Exchange Commission (SEC) , Securities Regulation

SEC Issues New Guidance on Self-Certification of Accredited Investor Status in Private Placements

On March 12, 2025, the staff of the Division of Corporate Finance (the staff) of the US Securities and Exchange Commission (the SEC) concurrently issued a no-action letter and interpretive guidance via new Compliance and...more

3/20/2025 / Capital Markets , Disclosure Requirements , Investment , Investors , Private Equity , Private Funds , Regulatory Requirements , Securities and Exchange Commission (SEC) , Securities Regulation

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