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the SEC, using the same registration form as registered advisers. Rather than completing all of items on the form, exempt reporting advisers would fill out a limited subset of items,…

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reasonable leverage limits for each Fund that it manages.  EU Member States will have the authority to impose restrictions on the use of leverage. The Directive will become effective in…

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the SEC Examination Staff to contact them, which precipitated the SEC issuing a subpoena in order to compel cooperation.  The SEC also found material discrepancies in Thrasher’s Form ADV that could…

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Written by Jay Gould On March 10, 2010, the Securities and Exchange Commission (“SEC”) adopted amendments to Rule 201 and Rule 200(g) of Regulation SHO (“Rules”).  In order to…

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“FIVCE Regulations”), which are the only comprehensive regulations pertaining to foreign-invested investment funds in China, did not explicitly contemplate the establishment of FIE FoFs.  For more information regarding the FIVCE…

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Posted in: Uncategorized
Tagged: China and Private Equity
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According to the Wall Street Journal, the Commodity Futures Trading Commission has sent subpoenas to hedge funds and other large natural gas traders seeking information regarding trading activity in…

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Posted in: Private Funds
Tagged: CFTC and Derivatives
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would need to limit the potential for regulatory arbitrage by imposing enhanced constraints on unregulated money market fund substitutes (for example, by providing that the exemptions from registration under the…

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The Securities and Exchange Commission and Commodity Futures Trading Commission recently adopted interim final rules for the reporting of swaps that were entered into prior to the enactment of…

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been permitted to use this as the basis of a valuation. The offering materials for the Southridge funds indicated that such investments would be valued based on a valuation provided…

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