Private Funds

The suspect thought he was so smart he would use pliers to rip apart the evidence and then scatter the debris in the pre-dawn hours ...

Among Dodd-Frank's more controversial reforms are those that would affect only RIAs that are affiliated with a bank. If this captures your firm, be aware ...

Advisers to larger private funds may be taken aback when they glimpse the range of data being sought by the SEC to aid the Financial ...

Thank Dodd-Frank for two new proposed rules advanced by SEC commissioners last week. The more substantial one would force private fund advisers to report either ...

You may know them as researchers, consultants or expert networks. Some advisers are simply calling them trouble, given the recent rash of insider trading cases ...

Sometimes there are few bright lines. Take the sale of unregistered securities such as hedge fund offerings. Most funds rely on exceptions under Reg D, ...

At least one hedge fund is closing up shop after being visited by federal agents recently in an apparent insider trading investigation (IA Watch, Nov. ...

Three hedge funds - including two RIAs - were visited last week in FBI raids that the Wall Street Journal characterized as culminating a three-year ...

The SEC's custody rule requires private fund advisers to use an accountant that is registered with and inspected by the PCAOB to conduct annual audits. ...

In yet another action inspired by Dodd-Frank, the SEC last week issued a proposed rule that would force institutional investment managers of funds with more ...