News & Analysis as of

Private Funds

EU Data Privacy Law Countdown – Who's Ready?

by Bracewell LLP on

On May 25, 2018, the European Union’s data privacy regime is getting an upgrade (the General Data Protection Regulation, or GDPR) to improve individual protections. It will also, however, raise various new operations...more

Energy Newsletter - May 2018

by King & Spalding on

Courts Hold Clean Water Act Regulates Discharges through Groundwater, as Congress and Regulators Consider Responses - The Ninth Circuit and Fourth Circuit have joined a growing number of lower courts finding that the...more

Rebuilding Infrastructure in America: The Impact of U.S. Government Infrastructure Spending on the Private Funds Industry

by King & Spalding on

As part of our ongoing series on the Trump administration’s infrastructure proposal, Building A Stronger America (the “Plan”), we continue to provide insight on how various sectors of the financial industry may be impacted by...more

2018 Investment Adviser Update - When it Comes to Regulatory Environment, It’s “Meet the New Boss, Same as the Old Boss”

by Robinson & Cole LLP on

Private equity and hedge fund advisers continue to be subject to an increasing degree of supervision by the Securities and Exchange Commission (SEC) and other governmental agencies and self-regulatory organizations. The...more

Filing Deadlines and To Do List for May 2018

FOR INVESTMENT MANAGERS - Form 13F: Form 13F quarterly filing is due for Q1 2018 within 45 days after the end of the calendar quarter. Due date is May 15, 2018....more

Rebuilding Infrastructure in America - April 2018 #2

by King & Spalding on

The Impact of U.S. Government Infrastructure Spending on the Private Funds Industry - As part of our ongoing series on the Trump administration’s infrastructure proposal, Building A Stronger America (the “Plan”), we...more

SEC Highlights Latest Advisory Fee/Expense Compliance Issues

by King & Spalding on

In recent years, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) has been paying close attention to the fees and expenses charged by private funds and their...more

Proskauer’s Second Annual Survey on Trends in Private Credit Markets

by Proskauer Rose LLP on

We are delighted to share with you the results from our second annual Trends in Private Credit survey. This year’s survey was conducted via web from January 9th to February 9th 2018. In this report, we will share...more

Filing Deadlines and To Do List for April 2018 for RIAs and BDs

FOR INVESTMENT MANAGERS AND HEDGE/PRIVATE FUND MANAGERS - Form ADV Part 2A: Registered investment advisers are required to distribute to each client an updated Form ADV Part 2A or a summary of material changes with an offer...more

11 Key Takeaways for Updating your Compliance Program in 2018: Investment Advisers, Hedge Funds and Private Equity Funds

Based on our review of the investment adviser regulatory landscape of 2017, these are the top 11 recommendations for investment adviser CCOs for updating their compliance programs....more

Annual Compliance Obligation Reminders

by Vedder Price on

Investment advisers registered with the U.S. Securities and Exchange Commission (“SEC”) or with a state (“Advisers”) as well as commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the...more

US Capital Markets Expected to Remain Robust in 2018

The U.S. high-yield and investment-grade debt markets saw significant increases in 2017 over 2016 in dollar volume and number of issuances. The U.S. equity indices reached new highs throughout the year, with the Standard &...more

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

by Dechert LLP on

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

Developments in Capital Call Subscription Facilities: 2017 Year in Review

by Ropes & Gray LLP on

Capital call subscription credit facilities have become increasingly popular in recent years among private fund sponsors and investors. The primary purpose of these facilities is to enable the fund borrower to make...more

Private Funds and Managers – Navigating Broker-Dealer Requirements

by Foley & Lardner LLP on

When looking to raise capital, broker-dealer compliance may not be at the forefront of a private fund manager’s mind. However, engaging individuals (including the fund manager’s employees) or firms to identify, introduce or...more

MiFID II and PRIIPs: The final countdown begins

by Dechert LLP on

It is now only two months until the 3 January 2018 compliance deadline for the revised Markets in Financial Instruments Directive (MiFID II) and the 1 January 2018 compliance deadline for the EU Packaged Retail Investment and...more

The Adviser: A Quarterly Update for Private Funds - November 2017

For several years the U.S. Securities and Exchange Commissions (“SEC”) has focused its enforcement efforts on how private fund advisers allocate fees and expenses to their fund clients and the adequacy of their disclosures to...more

SFC Highlights Deficiencies in Asset Management Industry

• The SFC has identified nine common areas of non-compliance in managing funds and discretionary accounts. • The SFC urged licensed corporations to review their existing internal control procedures and operational...more

New Freedom of Information Law in Kentucky

by Goodwin on

Freedom of information legislation has been an issue that private fund managers have had to deal with for some time. Public pension funds invest a significant amount of capital into private funds and most, as public bodies,...more

Investment Management Special Report - 2017-18 Compliance Developments & Calendar for Private Fund Advisers

Introduction - Despite an anticipated de-regulatory push, there are significant new regulatory concerns for investment advisers to address in connection with their annual review of their compliance manuals....more

Veil Piercing/Alter Ego Determinations – How Fund Managers Can Protect Themselves

A veil piercing claim can be a worst-case scenario for a private fund manager dealing with a struggling portfolio company investment – the company fails, and ensuing legal claims are brought not only against the portfolio...more

Could Tax Reform Threaten Higher Education?

by Steptoe & Johnson PLLC on

Given declining funding from government sources and the continued pressure to minimize tuition increases, it is critical for higher education institutions to encourage private giving. The primary catalyst for private giving...more

SFC (the “Commission”) Expresses Concern over Irregularities in Asset Management Activities

•The Commission has identified a number of regulatory concerns with respect to private funds and discretionary accounts, in particular, funds with concentrated, illiquid and interconnected investments. •The Commission has...more

The Financial Report, Volume 6, Number 15

by DLA Piper on

Discussion and Analysis - As elementary and middle-school students, we always hoped that our regular teachers would be absent and that we would be supervised by a “substitute teacher.” The normal rules of the classroom...more

ILPA Issues Guidance on Use of Subscription Credit Facilities

by Dechert LLP on

The Institutional Limited Partners Association (“ILPA”), the body that represents the international limited partner community, has recently issued a best practice guide to assist both investors and managers1 with the use of...more

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