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Venture Capital › Registered Investment Advisors

DLA Piper

Treasury’s FinCEN and SEC Propose Rule Requiring Investment Advisers to Develop Customer Identification Programs

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On May 13, 2024, the Securities and Exchange Commission (SEC) and the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly proposed a new rule that would impose requirements on SEC-registered...more

Cooley LLP

Venture Capital Fund Managers’ Guide to Applying the Latest Marketing Rule Risk Alert

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One of the most important documents for fund managers is the marketing deck. Whether it’s to raise a new fund or a special purpose vehicle, or just to build relationships with prospective investors, every fund manager has...more

Woodruff Sawyer

Regulatory Creep and Venture Capital Risk Management (and Introducing the Financial Services Notebook)

Woodruff Sawyer on

Since the 2008 financial crisis, the SEC has made repeated encroachments into the private funds industry. Registered investment advisers (RIAs) have borne the heaviest regulatory burden: routine examinations, frequent...more

Cooley LLP

Venture Capital Advisers Not Off-Limits for SEC Scrutiny

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In the past six months, the Securities and Exchange Commission has settled a number of enforcement actions against venture capital advisers who are exempt reporting advisers (ERAs) and not registered investment advisers...more

King & Spalding

Checklist for Non-U.S. Fund Managers Making a Private Fund Offering in the U.S.

King & Spalding on

The United States represents a large source of potential capitalthat non-U.S. fund managers often find impossible to ignore. To assist non-U.S. fund managers, we have prepared a checklist that sets out key considerations for...more

Fox Rothschild LLP

Fund Adviser Exemptions Primer– Redux

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I never find it boring to review the investment adviser exemptions for private fund managers. Apparently, I am not the only one since this is a question we frequently field. Initially, private fund manager investment...more

Farrell Fritz, P.C.

Proposed Expansion of “Accredited Investor” Definition Would Benefit Issuers and Investors

Farrell Fritz, P.C. on

The Securities and Exchange Commission is proposing to expand the definition of “accredited investor” to include additional entities that could bear the economic risks of investment and certain financially sophisticated...more

Cooley LLP

Alert: Upcoming Regulatory Deadlines for VC and PE Firms

Cooley LLP on

This alert highlights near-term regulatory deadlines that commonly apply to venture capital and private equity firms. February 16, 2016. Firms that hold, or have traded in significant positions in public company...more

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