This is a diagram created and shared with permission of the law firm Gibson Dunn. It provides a visual guide for IA registration consistent with ...
Click here to open a Word file that contains a peer's policy and attestation for employees to sign in an effort to prevent insider trading ...
This is an SEC document request letter sent to an RIA that also manages private funds.
The GAO report from July 2011 examining the prospects for an SRO for private fund advisers.
Click here to see an example of a retainer agreement between an accounting firm and an RIA. Certain advisers need accountants to verify assets under ...
This is a letter dated April 27, 2011 from SEC Chairman Mary Schapiro to an unidentified recipient. The letter mentions the likelihood of the Commission ...
Click here to download a Word template, courtesy of Aaron De Angelis of Spring Mountain Capital in New York, that can aid in the tracking ...
This is the famous U.S. Court of Appeals' decision from 2006 in the Phillip Goldstein v. SEC case that overturned the Commission's attempt to regulate ...
This is a guide to SEC registration designed to help hedge fund and private equity fund advisers understand new registration requirements. This was prepared by ...
This is a sample subscription agreement for a private equity fund courtesy of Thomas Gallagher, a partner at Baker Hostetler in New York.