An answer out of London last week should prompt non-E.U. private fund advisers wishing to sell into the U.K. to say "cheers." They won't have ...
One view holds that the recent speech by the SEC's David Blass simply spotlighted the agency's long-standing position on what types of transactions warrant an ...
The anticipated approval of a rule eliminating the prohibition on the general solicitation of private funds is already creating jobs - for entrepreneurs who envision ...
Something didn't seem right from the beginning. The client sent the firm an e-mail stating he was out of town and asking the adviser to ...
Last month we warned private fund advisers that the SEC might question whether you should register as a broker-dealer (IA Watch, March 18, 2013). Now ...
Nearly one in three respondents to a recent hedge fund survey fear that they would be retaliated against if they reported wrongdoing internally. Close to ...
It's been reported that SEC examiners are asking tough questions about expenses charged to investors by hedge and private equity fund advisers. Sources tells us ...
It's gone on for years and continues today. A hedge fund client asks you to manage a side-by-side separately managed account. Know that if you ...
Our story last week on the Alternative Investment Fund Managers Directive (AIFM), the EU's new coming regulatory regime for private fund advisers, noted the directive ...
Two enforcement actions announced last week by the SEC highlight the risks private equity advisers face if their compliance policies and procedures aren't suitable to ...