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SEC and CFTC Adopt Another Round of Amendments to Form PF for Private Fund Advisers

On February 8, 2024, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) (together, the Commissions) jointly adopted additional amendments to Form PF, the confidential form by...more

SEC Settlement Reflects Continued Scrutiny Regarding MNPI, Advertisements and Investor Communications

On December 26, 2023, the U.S. Securities and Exchange Commission (SEC) announced a settlement with a registered investment adviser, OEP Capital Advisors, L.P. (OEP). The settlement found that OEP had failed (a) to maintain...more

Alternative Data is Now Mainstream; AI Could Be Next: The 2023 Lowenstein Sandler Alternative Data Report

Alternative data continues to strongly influence the decision-making of investment professionals across all areas of the investment management industry. In a testament to the rising importance of alternative data, the...more

AML Best Practices for Private Funds: Red Flags and Responses for Private Funds

U.S. hedge funds, private equity funds, and venture capital funds (collectively, the Private Funds)2 and their U.S. general partners, sponsors, and managers (Advisers) are not directly subject to the Bank Secrecy Act of 1970...more

SEC Adopts Amendments to Form PF for Registered Investment Advisers to Private Funds

On May 3, 2023, the U.S. Securities and Exchange Commission (“SEC”) adopted amendments to Form PF, the confidential form by which certain SEC-registered investment advisers report information pertaining to the private funds...more

AML Best Practices for Private Fund Managers: The Prudence of Establishing an AML Compliance Program

I. Introduction- U.S. hedge funds, private equity funds, and venture capital funds (collectively, the Private Funds),1 and their U.S. general partners, sponsors, and managers (Advisers), are not directly subject to the...more

Reminder–Form SHC: Report of U.S. Ownership of Foreign Securities Due March 4, 2022

Lowenstein Sandler’s Investment Management Group is pleased to provide you with (i) background information on the purpose and applicability of Form SHC (“Form SHC”); (ii) a summary of its contents; (iii) considerations for...more

SEC Proposes Conditional Broker Exemption For Finders

What You Need To Know: •The SEC proposes to exempt two types of Finders from broker-dealer registration pursuant if they satisfy certain conditions. •Tier I Finders may provide potential investors’ contact information to...more

OCIE Risk Alert: Key Takeaways And Practical Applications For Hedge Fund Managers

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert entitled Observations from Examinations of Investment Advisers Managing Private Funds (the “Alert”). The...more

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