It has been a common practice of private equity firms to convert their right to receive management fees from the funds they manage into the right to receive profits…
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Thirteen States Call for More Transparency In Private Equity Expense Disclosures
In a letter to SEC Chair Mary Jo White, the Treasurers and Comptrollers of 13 states have urged the SEC to crack down on private equity funds and require…
Consultant or Employee? Fund Managers Should Re-Examine the Status of their Consultants in Light of the DOLโs New Interpretation
On July 15, 2015, the Wage and Hour Division of the U.S. Department of Labor (DOL) issued Administratorโs Interpretation No. 2015-1, adopting a very expansive interpretation of the definition…
SEC Expresses Support for Compliance Professionals at Kick-Off of Compliance Outreach Program for Broker-Dealers
must, of course, take enforcement action against compliance professionals if we see significant misconduct or failures by them.โ Ms. White named the following examination priorities: fee structures; suitability; order routing…
100 Women in Hedge Funds presents HOT topics in Compliance: Conflicts of Interests in Account Management and more
on July 28, 2015. In quest for assets and investors, hedge fund managers continue to diversify their client base. When they are successful, they may end up with a broad…
Cyber Crimes Target Hedge Funds
management. Yet for all the heartburn caused by these SEC examinations, they seem to be only scratching the surface when it comes to the types of cyber-threats confronting hedge funds….
Fintech and Finance: How to be Part of the Fintech Investment Boom
means UK businesses lag behind their US counterparts in attracting the investment to move them through the stages of growth.ย So what can early-stage, consumer-facing fintech companies do to make themselves…
SEC Proposes Rules to Modernize Reporting by Investment Advisers and Investment Companies
The Securities and Exchange Commission (SEC) today proposed rules, forms and amendments to modernize and enhance the reporting and disclosure of information by investment advisers and investment companies. Investment…
Have you filed your BE-10? Deadline is approaching
investment abroad, conducted once every five years by the Bureau of Economic Analysis (โBEAโ) of the U.S. Department of Commerce. The purpose of the survey is to obtain economic data…
Cybersecurity Guidance Issued by the SECโs Division of Investment Management
as an important issue. Recognizing the rapidly changing nature of cyber threats and consequently, the necessity for funds and advisers to protect sensitive information including information of fund investors and…