Private Funds

(a) Prohibition. It shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business within the meaning of section 206(4) of the Act ...

(a) United States investment advisers. For purposes of section 203(m) of the Act (15 U.S.C. 80b-3(m)), an investment adviser with its principal office and place ...

The Investment Advisers Act of 1940Section 204 -- Reports by Investment Advisers Every investment adviser who makes use of the mails or of any means ...

Hedge fund advisers are having some advertising and marketing compliance issues and 2015 will see SEC examiners focus on retiring investors. These nuggets were among ...

Hedge fund advisers lured by rapid growth in the more than $300 billion alternative mutual funds market are increasingly becoming involved with the funds either ...

Faking research expenses, portfolio pumping and marking the close are all featured in an SEC enforcement action announced this month against a Minneapolis-based hedge fund ...

Adopting a set of compliance policies and procedures that form your firm’s compliance manual makes up only half the battle. The true key is then ...

Six new FAQs from the SEC's Division of Corporation Finance may not spur greater use of general solicitation but they encourage firms to think for ...

Although the IRS last year expanded its definition of financial institutions to include investment advisers, most RIAs aren't expected to fall under the jurisdiction of ...

The SEC has put together a dedicated group to examine private equity and hedge funds, after the 2010 Dodd-Frank law required the funds to be ...