News & Analysis as of

Private Equity Funds Securities and Exchange Commission (SEC)

Cadwalader, Wickersham & Taft LLP

Chevron and Carry On July 2024 - Investec’s Secondaries Report 2024 Out Now

Investec’s latest Secondaries Report, Charting a course for further growth is out now. It’s packed with the latest insights on the secondaries market and explores the exceptional performance over the last year, despite deep...more

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for June 2024

Private Fund Rules Cancelled, Survey Says Marketing Rule is a Lot of Work and the Intersection of Regulation BI and Investment Adviser’s Fiduciary Duty - Welcome to our June Regulatory Roundup, where we provide you with a...more

Seward & Kissel LLP

Fifth Circuit Vacates the Private Fund Advisers Rules in their Entirety

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On June 5th, the United States Court of Appeals for the Fifth Circuit (the “Fifth Circuit”) vacated the Securities and Exchange Commission’s (the “SEC”) final rule regarding the regulation of private fund advisers (the “Final...more

Mintz - Energy & Sustainability Viewpoints

Understanding ESG Ratings: Legal Insights & Perspectives

With environmental, social, and governance (ESG) principles garnering increased attention in corporate circles in recent years, there has been an accompanying rise in demand for analytical products that evaluate companies’...more

Proskauer - The Capital Commitment

The Macro-Economic Environment: What It Means for VC Firms

Hope for a resurgence during 2024 in Venture Capital fundraising, investment, and returns was strong at the beginning of this year, with optimism fueled by the recovery in 2023 of U.S. stock markets (lead by the performance...more

SEC Compliance Consultants, Inc. (SEC³)

Top Tips for Updating Your 2024 Compliance Program

Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm's compliance policies...more

Bracewell LLP

FINRA Facts and Trends: April 2024

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Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more

Proskauer - The Capital Commitment

SEC Focus on Adviser-Led Secondaries Continues

Adviser-led secondary transactions have seen explosive growth over the last five years. That growth has brought increased regulatory concerns over the conflicts of interests inherent in these transactions and a perceived...more

Akin Gump Strauss Hauer & Feld LLP

The Road Ahead for Private Equity: Private Funds & Dealmaking

Fundraising’s Effect on Dealmaking - Fundraising has been challenging over the past 12 months, primarily driven by the fact that distributions have slowed as a result of the lack of exit opportunities....more

Cooley LLP

Annual SEC Filing Deadline for Venture, Private Equity Funds Is February 14, 2024

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Venture and private equity funds that own equity securities of public companies may have numerous Securities and Exchange Commission (SEC) filing requirements, including filings based on the size of the holdings of a...more

DarrowEverett LLP

How SEC’s Private Fund Rules Will Affect Use of Side Letters

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Recent client alerts have provided an overview of the new “private fund rules” adopted in late August by the U.S. Securities and Exchange Commission (SEC). These rules apply, subject to limited exceptions and carveouts, to...more

Jackson Walker

SEC Adopts Sweeping New Private Fund Adviser Rules

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On August 23, 2023, the U.S. Securities and Exchange Commission (“SEC”), by a party-line vote of 3-2, adopted new rules applicable to investment advisers to private funds (“Private Fund Advisers”) that address transparency,...more

Troutman Pepper

New SEC Private Funds Rules – What Is Happening and What You Need to Know - Troutman Pepper Podcast

Troutman Pepper on

On August 23, the Securities and Exchange Commission finalized the Private Funds Rules. Listen to Troutman Pepper Partner Genna Garver and Fairview General Counsel and Executive Vice President Amber Allen as they discuss the...more

Akin Gump Strauss Hauer & Feld LLP

SEC Private Funds Rule

With the announcement of the new Private Funds Rule by the U.S. Securities and Exchange Commission (SEC), a full text of the amendments is linked below. The amendments are highlighted to show the changes from the initial...more

Kohrman Jackson & Krantz LLP

SEC Increases Oversight of Investment Advisers to Private Equity Funds and Hedge Funds with New Rules

SEC APPROVES NEW RULES IMPACTING INVESTMENT ADVISERS AND FUNDS - On Wednesday, August 23, 2023, the Securities and Exchange Commission (SEC) voted 3-2 along party lines to approve new rules and rule amendments under the...more

Kilpatrick

SEC Adopts Amendments to Form PF

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On May 3, 2023, the Securities and Exchange Commission (the “SEC”) adopted a new rule (the “Rule”) that amends Form PF, the confidential reporting form for certain SEC-registered investment advisers to privately-offered...more

Faegre Drinker Biddle & Reath LLP

SEC Adopts Amendments to Form PF

The U.S. Securities and Exchange Commission (the SEC) adopted Amendments to Form PF (the Amendments) in a three-to-two vote on May 3, 2023, over a decade after Form PF’s initial adoption. SEC Chair Gary Gensler predicted that...more

Groom Law Group, Chartered

What Plan Fiduciaries Should Know About SEC’s Final Form PF Amendments

On May 3, 2023, the Securities & Exchange Commission (“SEC”) adopted amendments to Form PF (the “Final Amendments”).  Plan fiduciaries that utilize private equity funds, and regulated entities that serve these plan sponsors,...more

Latham & Watkins LLP

SEC Adopts Changes to Form PF for Private Equity and Large Hedge Fund Advisers

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On May 3, 2023, the US Securities and Exchange Commission (SEC), in a 3-2 decision, adopted a final rule that modifies Form PF’s reporting requirements for certain registered investment advisers to private equity funds, hedge...more

Troutman Pepper

SEC Adopts Significant Amendments to Form PF

Troutman Pepper on

On May 3, the U.S. Securities and Exchange Commission (SEC) adopted significant amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The final amendments will...more

King & Spalding

SEC Adopts Amendments to Form PF; Establishes Certain “Event Reporting” Requirements for Private Equity Advisers and Large Hedge...

King & Spalding on

On May 3, 2023, the SEC adopted amendments to Form PF that will establish new event-reporting requirements for “private equity fund advisers” and “large hedge fund advisers”, and will require certain additional annual...more

Stinson LLP

SEC Adopts Amendments to Form PF for Private Equity Funds

Stinson LLP on

On May 3, 2023, the Securities and Exchange Commission (SEC) voted to adopt certain amendments (Final Amendments) to Form PF reporting requirements. Form PF is a confidential, regulatory reporting form filed by SEC-registered...more

Eversheds Sutherland (US) LLP

SEC adopts amendments to Form PF reporting for hedge fund and private equity fund advisers

On May 3, 2023, the Securities and Exchange Commission (the SEC) adopted, on a 3-2 vote, amendments to Form PF requiring certain current event reporting for Large Hedge Fund Advisers (as defined below), certain quarterly...more

Goodwin

New Form PF Current and Quarterly Event Reporting and Expanded Large Private Equity Fund Adviser Reporting Adopted By SEC

Goodwin on

On May 3, 2023, the Securities and Exchange Commission (the SEC) adopted important amendments to Form PF, the systemic risk reporting form for private fund advisers registered with the SEC, that would require (i) new...more

Seward & Kissel LLP

SEC Proposes New Cybersecurity Requirements for Certain Market Entities and Reopens Comment Period for Proposed Cybersecurity...

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Quick Take: The SEC proposed new requirements for several different market entities designed to mitigate cybersecurity risk, including requirements relating to written policies and procedures and notifications about...more

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