Investment Fund Law Blog
The following are some of the important annual compliance obligations investment advisers either registered with the Securities and Exchange Commission (the “SEC”) or with a particular state (“Investment Adviser”)…
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Treasury Mandatory Survey Form TIC-SHC Due Soon— Fund Managers Should Assess Foreign Securities Holdings
due every 5 years, of ownership of foreign securities by U.S. residents as of December 31, 2016. All U.S. persons who meet the reporting requirements must respond to, and comply…
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HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS
NEW YORK—Pillsbury has been named Best Onshore Law Firm for Hedge Fund Startups by HFMWeek at its HFM U.S. Hedge Fund Services Awards 2016. Partner Ildiko Duckor, who…
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New Law Mandates Disclosure of Alternative Fund Fees By California Public Pensions
funds, venture funds, hedge funds or absolute return funds, whether a limited partnership, limited liability company or similar legal structure (Alternative Funds), to make disclosures of fees and expenses paid…
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Higher Qualified Client Net Worth Threshold Effective August 15, 2016
adviser is generally prohibited from receiving performance fees or other performance-based compensation. Section 205(e) of the Advisers Act provides for an exemption to this prohibition and Rule 205-3 under the…
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Privacy Policy
lawyer or firm when browsing or navigating the site shall be kept confidential: First and last name Company, home, postal or other physical address Other contact information, for example,…
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Employees
following in relation to their associated persons: A completed online Form 8-R Fingerprint cards A Principal Application Fee of $85.00 An Associated Person Application Fee of $85.00 Print…
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Disclaimer
The information contained in this Weblog (Blog) is provided for informational purposes only, and should not be construed as legal advice on any subject matter. No recipients of content…
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Is the fund relying on Section 3(c)(7) to avoid registration as an investment company? – Preserving the exemption
If the fund is relying on the Section 3(c)(7) exemption to avoid registration as an investment company under the 1940 Act, each investor must be a “qualified purchaser.” The…
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Is the fund relying on Section 3(c)(7) to avoid registration as an investment company? – Avoiding registration under the 1934 Act
A fund will be required to register its securities under the 1934 Act and, as a result, become subject to public reporting requirements if any class of its equity…