Advisers to larger private funds may be taken aback when they glimpse the range of data being sought by the SEC to aid the Financial ...
Thank Dodd-Frank for two new proposed rules advanced by SEC commissioners last week. The more substantial one would force private fund advisers to report either ...
Several middle market private equity firms have launched a last-ditch campaign urging Congress not to impose a new requirement that they register with the U.S. ...
You may know them as researchers, consultants or expert networks. Some advisers are simply calling them trouble, given the recent rash of insider trading cases ...
Sometimes there are few bright lines. Take the sale of unregistered securities such as hedge fund offerings. Most funds rely on exceptions under Reg D, ...
At least one hedge fund is closing up shop after being visited by federal agents recently in an apparent insider trading investigation (IA Watch, Nov. ...
Three hedge funds - including two RIAs - were visited last week in FBI raids that the Wall Street Journal characterized as culminating a three-year ...
Private equity professionals expressed relief, dashed with cautious optimism, with the result of the mid-term elections on Nov. 3, which saw generally more business-friendly Republicans ...
The SEC's custody rule requires private fund advisers to use an accountant that is registered with and inspected by the PCAOB to conduct annual audits. ...
In yet another action inspired by Dodd-Frank, the SEC last week issued a proposed rule that would force institutional investment managers of funds with more ...