News & Analysis as of

Filing Requirements Hedge Funds

Dechert LLP

SEC Current Reporting Requirements for Private Funds Become Effective in December

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Key Takeaways - Following the SEC’s adoption, earlier this year, of changes to Form PF, large hedge fund advisers will face, for the first time, a requirement to report certain events to the SEC within 72 hours. ...more

Proskauer Rose LLP

SEC Proposes Significant Amendments to Form PF

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On January 26, 2022, the U.S. Securities and Exchange Commission (the “SEC”) proposed amendments to Form PF and related rules (the “Proposed Amendments”) under the Investment Advisers Act of 1940 (“Advisers Act”). Form PF is...more

Dechert LLP

SEC Proposes Amendments to Form PF

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The Securities and Exchange Commission on January 26, 2022 voted three-to-one to propose amendments to Form Private Fund (Form PF), a confidential reporting form for certain SEC-registered investment advisers to private...more

Proskauer Rose LLP

A Practical Guide to the Regulation of Hedge Fund Trading Activities - Chapter 3: Special Issues under Sections 13(d) and 16 for...

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The filing requirements and liability provisions under Sections 13(d) and 16 of the Exchange Act continue to challenge hedge funds, due to sometimes opaque law and complex trading patterns. Although the requirements under...more

Stinson - Corporate & Securities Law Blog

SEC Charges Hedge Fund with 13D Violation

The SEC charged a hedge fund sponsor that manages private funds and separately managed accounts focused on global distressed, special situations, and opportunistic investing with failure to timely file a Schedule 13D. The...more

Proskauer Rose LLP

A Practical Guide to the Regulation of Hedge Fund Trading Activities

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The trading activities of hedge funds raise a number of complex issues under the federal securities laws. Proskauer’s Practical Guide to the Regulation of Hedge Fund Trading Activities offers a concise, easy-to-read overview...more

Cadwalader, Wickersham & Taft LLP

M&A Update: Toehold Accumulations: Further Convergence Between Private Equity and Hedge Fund Strategies

Over the past few years, private equity funds and hedge funds have increasingly employed tactics traditionally employed by the other as part of their value maximization strategies. Underscoring this convergence has been a...more

Dechert LLP

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

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The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more

Proskauer Rose LLP

2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds

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This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more

Robinson & Cole LLP

SEC - Registered Investment Advisers – Annual Compliance Requirements

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As a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), most private equity and hedge fund managers are required to register as investment advisers with the U.S. Securities and Exchange...more

Perkins Coie

Activist Funds Must Comply with HSR Premerger Reporting Rules

Perkins Coie on

The Federal Trade Commission (FTC) filed a complaint in August 2015 against three affiliated activist hedge fund companies and Third Point LLC, their management company, for acquiring voting securities in Yahoo! Inc. without...more

Troutman Pepper

Trends for Early-Stage Investing in Emerging Managers

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The current environment for early-stage investing with emerging managers reflects an increasing number and variety of early-stage investments firms, an increasing pool of talented emerging managers, and a growing number and...more

Cooley LLP

Blog: Will Congress Shorten The 10-Day Window Applicable To Filing Schedule 13D?

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Several public watchdog organizations have sent a letter to the leaders of two congressional committees urging that Congress take action to shorten the 10-day filing period applicable to Schedule 13D....more

Proskauer Rose LLP

2014 Proskauer Hedge Funds and Other Private Funds Annual Review

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This year we saw a flurry of regulatory activity targeting investment advisers and hedge funds, private equity funds and other private funds (collectively, private funds). The following annual review is a summary of some of...more

Dechert LLP

Financial Services Quarterly Report - Third Quarter 2013: A New Private Funds Regulatory Framework for the PRC

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For years, the Chinese private fund industry has operated in regulatory limbo, but a recent series of legislative and regulatory actions should provide greater certainty and help create a more favorable environment for the...more

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