Form PF

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 ...

One week after hedge fund advisers were to file their initial Form PF, the SEC uploaded 14 new frequently asked questions to its website - ...

These are the 14 new Form PF FAQs released by the SEC in March 2013.

This time of the year government regulatory filings can feel like confetti falling after the Super Bowl. Take what's facing advisers that are tri-registered - ...

Officials had promised they were coming and on Nov. 20th they delivered. The SEC posted five new FAQs around the filing of new Form PF, ...

We told you about the recent SEC FAQ indicating a private equity fund adviser that potentially could sell short or borrow large amounts would transform ...

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 ...

Advisers asked to complete Form PF will be providing federal authorities with data on investments the world over. In 9 new FAQs from the SEC, ...

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 ...

It's bound to happen. When your savviest investors, perhaps of the institutional kind, figure out your firm will be sharing with federal regulators confidential data ...