Investment Fund Law Blog
should be through the fund) Advisory Committee should review and approve any fees generated by an affiliate of the GP, whether charged to the fund or a portfolio company…
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SEC Proposes Rule Regarding Private Fund Systemic Risk Reporting
Form PF and the information reported on Form PF would be confidential. The proposed rule would subject large advisers to hedge funds, “liquidity funds” (i.e., unregistered money market funds) and…
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SEC Study on Investment Advisers and Broker-Dealers
harmonize other areas of broker-dealer and investment adviser regulation, such as regulations pertaining to advertising and communication, the use of finders and solicitors, supervision and regulatory reviews, licensing and registration…
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SEC Publishes Study on Enhancing Investment Adviser Examinations
Written by Michael Wu On January 19, 2011, the Securities and Exchange Commission (“SEC”) released its study regarding the need for enhanced examination and enforcement resources for investment advisers. …
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Ponzi is Prologue – What the Dodd Frank Act Means for SEC Fraud Enforcement Actions
which obtained an order to freeze the assets held by Kowalewski. Presumably, a receiver will be appointed by the court that will sift through the rubble and one day return…
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2011 Annual Compliance Review for Investment Advisers
may be obtained through “negative consent” letters. ERISA. An Investment Adviser may wish to reconfirm whether its fund(s)’ investors are “benefit plan investors” for purposes of reconfirming its fund(s)’ compliance…
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FINRA Outside Business Activities Rule Now Effective
Written by Michael Wu On December 15, 2010, FINRA Rule 3270 became effective. FINRA Rule 3270 requires each registered representative of a broker-dealer to provide it with prior written…
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The SEC Extends the Compliance Dates for delivery of “Brochure Supplements”
Written by Michael Wu On July 28, 2010, the Securities and Exchange Commission (“SEC”) adopted amendments to Part 2 of Form ADV, and related rules under the Investment Advisers…
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The SEC and the CFTC Propose Joint Rules Defining Swap Participants
Written by Michael Wu On December 7, 2010, the Securities and Exchange Commission (the “SEC”) proposed joint rules with the Commodity Futures Trading Commission (the “CFTC”) to define the…
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How does the AIFM Directive Impact Fund Raising in the EU by Non-EU Managers?
leaving full authorization as the only option for non-EU firms that wish to fund raise in the EU. ESMA and the European Commission have been tasked with issuing extensive implementing…