Private Funds

Eric Lyons misused and misappropriated approximately $570,000 from the funds

We are amending the definition of the term “assets under management” in the private fund adviser exemption to exclude the assets of RBICs

"Certain aspects of the implementing regulations may have resulted in a complex and costly compliance regime that is unduly restrictive and burdensome"

The SEC has closed the books again on one of the biggest insider trading scandals of this century. Under a consent decree entered in federal ...

New federal law on foreign investments expands the Committee on Foreign Investment in the United States’ authority over “critical” technology, infrastructure and data management and ...

A New York Supreme Court justice has ordered the assets of a private fund and related broker-dealer frozen, after evidence revealed “a shocking level of ...

The future of debt markets have become a little clearer this year with the UK’s financial regulator, the Financial Conduct Authority, throwing its support behind ...

“If you’re going to save this industry, you’re going to have to do a 180-degree turn"

Compliance officers often complain that they don’t have enough authority in their funds. Too far removed from decisions, too siloed from the bigger company, you’ve ...

Banks would be allowed to invest in several different kinds of private funds under a massive new set of reforms being considered by Washington regulators. ...