IA Watch has learned that the Division of Investment Management has formally asked the Commission to move the deadline to next year for mid-sized firms ...
At 42 comments, the SEC wasn't exactly inundated with industry views about its proposed rule creating Form PF (IA Watch, Feb. 7, 2011) for fund ...
A hedge fund needn't seek GIPS compliance for its marketing but the voluntary status may raise its credibility in the eyes of potential investors. New ...
You won't find among the SEC's new Form ADV FAQs (IA Watch, March 28, 2011) how to resolve the issue of an adviser who oversees ...
The comments are in to the CFTC about its new proposed rule to eliminate the so-called "4.5 and 4.13 exemptions" that could force many hedge ...
The private equity industry’s last-ditch campaign to repeal or augment a Dodd-Frank proposal that would require most firms to register as investment advisers with the ...
It appears mid-sized investment advisers and those who manage private funds greater than $150 million will get more time to register with their state or ...
Consider this compliance tactic to get staff to appreciate the need to seek best execution and how brokers may attempt to sway business their way: ...
Events over the past few years have put into question the adequacy of risk management within the private equity industry. Gone are the days when ...
Dodd-Frank made pretty clear that advisers to private funds with more than $150 million in AUM must register as investment advisers. New federal rules always ...