Home Business Development Companies
Business Development Companies
This correspondence is another OCIE document request letter that looks at business development companies.
With cybersecurity risks threatening our privacy, it’s no wonder some would seek technology to shield their communications from prying eyes. But you can also understand ...
A peer at an investment advisory firm that has BDC funds shares a copy of a OCIE sweep exam letter sent to the firm.
FINRA has announced that it is conducting a targeted exam sweep with respect to non-traded business development companies. The SRO is asking that selected broker-dealers ...
The FAST Act revised the venture capital fund adviser exemption by deeming SBICs to be venture capital funds for purposes of the exemption. Because an ...
It could seem that an SEC enforcement action against a business development company is as rare as a winter sun in Alaska. But recently the ...
Invent Ventures, Inc. and Bryce Knight: Compliance failures lead to fine for business development...
INVENT also misrepresented its valuation policy in its periodic filings and failed to implement it, in that INVENT did not consult an advisory board about ...
The Securities and Exchange Commission is proposing rule 18f-4, a new exemptive rule under the Investment Company Act of 1940 designed to address the investor ...
An off-balance sheet loan program coming into wider use has been providing a partial work-around to the one-to-one debt-to-equity ratio cap for business development companies, ...
The staff is issuing this guidance in response to a public inquiry that the staff has received concerning a BDC’s co-investment transactions. The guidance is ...