One of the welcomed clarifications found within the SEC's 16 new FAQs for Form PF lists examples of a fund's borrowings (Question 12). These include ...
Congress gave the SEC until last week to eliminate the prohibition against general solicitation and general advertising in securities offerings under rule 506 of Reg ...
You should take a look at seven frequently asked questions on Form PF before you complete the confidential document that will inform the government of ...
Even if you don't consider your firm an alternative investment house, it could be engaging in some hedging strategies around the edges or holding on ...
It's taken three years but the CFA Institute May 18th approved its guidance statement for alternative investment strategies and structures. Firms that claim GIPS compliance ...
Don't risk adding a new party to a contract or a new investment that requires a qualified investor without updating your subscription documents. The SEC's ...
OCIE officials have made no secret that they're going to set their sights on many of the newly registered private fund advisers (IA Watch, March ...
Fund marketers rejoice—you are now freer to communicate!
The recently enacted JOBS Act lifts the ban on “general solicitation” and “general advertising” by private equity funds, ...
While OCIE won't divulge everything that goes into its risk assessment when picking out exam targets, director Carlo di Florio ticked off potential areas for ...
At long last, the Securities and Exchange Commission has charged former CalPERS CEO Fred Buenrostro and Alfred Villalobos—a former CalPERS board member turned placement agent—with ...