Pent up dry powder? Biggest emerging secondaries sectors? Leverage still a viable means to finance deals? Below is a “sneak peek” into what our Proskauer panelists have to say on these big topics. They, along with our lineup...more
On February 9, 2022, the U.S. Securities and Exchange Commission (the "SEC") proposed new rules and amendments to existing rules (the "Proposed Rules") under the U.S. Investment Advisers Act of 1940, as amended (the "Advisers...more
Given the current market volatility resulting from the COVID-19 pandemic, many fund sponsors are seeking additional sources of capital to protect and/or enhance their investment portfolios. There are many circumstances in...more
7/2/2020
/ Conflicts of Interest ,
Fund Sponsors ,
Institutional Investors ,
Investment Funds ,
Investment Management ,
Investors ,
Limited Partnerships ,
Liquidity ,
Popular ,
Portfolio Companies ,
Private Equity ,
Private Funds
On August 25, 2016, the U.S. Securities and Exchange Commission (SEC) adopted numerous substantive and technical amendments to Form ADV, Part 1A, which previously had been proposed in a release dated May 20, 2015. Several of...more
As the elections approach nationwide, advisers to private investment funds with current or prospective state or local government entity investors should be mindful of political activities by their personnel which could raise...more
8/23/2016
/ Broker-Dealer ,
Financial Industry Regulatory Authority (FINRA) ,
Government Officials ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
MSRB ,
Municipal Advisers ,
PACs ,
Pay-To-Play ,
Political Campaigns ,
Political Contributions ,
Presidential Elections ,
Private Funds ,
Recordkeeping Requirements ,
Rule 206(4)-5 ,
Securities and Exchange Commission (SEC)
As the elections approach nationwide, advisers to private investment funds with current or prospective state or local government entity investors should be mindful of political activities by their personnel which could raise...more
8/22/2016
/ Business Associates ,
Financial Industry Regulatory Authority (FINRA) ,
Fund Managers ,
Government Officials ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
MSRB ,
PACs ,
Pay-To-Play ,
Political Contributions ,
Private Funds ,
Public Pension ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC)
Regulators were busy at the end of 2015, especially in the United States, perhaps being motivated to push forward new rule proposals in anticipation of a change in administration after the presidential elections later this...more
On January 11, 2016, the staff of the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) released its annual announcement on examination priorities in the coming calendar...more
The U.S. Commerce Department's Bureau of Economic Analysis (the "BEA") recently released the final version of the BE-180 report, a five-year benchmark survey that collects data on transactions between U.S. persons that are...more
9/1/2015
/ Benchmarks ,
Broker-Dealer ,
Bureau of Economic Analysis ,
Filing Deadlines ,
Financial Institutions ,
Foreign Nationals ,
Hedge Funds ,
Investors ,
Private Equity Funds ,
Private Funds ,
Reporting Requirements ,
Surveys ,
Threshold Requirements ,
Time Extensions ,
U.S. Commerce Department