Private Funds

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 ...

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: ...

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 ...

This is the Form ADV, Part 2a of an RIA that advises private equity and hedge funds.

This is the famous U.S. Court of Appeals' decision from 2006 in the Phillip Goldstein v. SEC case that overturned the Commission's attempt to regulate ...

If your firm has discretionary authority over client assets held outside the U.S. that aren't registered mutual funds and are publicly offered, you likely will ...

If you're an unregistered hedge or private equity fund adviser with more than $150 million in AUM, you should look to early June as your ...

This is a guide to SEC registration designed to help hedge fund and private equity fund advisers understand new registration requirements. This was prepared by ...

You have until April 12th to tell the CFTC what you think of its new proposal to eliminate exemptions that have kept many hedge funds ...