Submitted: 23 January 2015
The SEC’s Office of Compliance Inspections and Examinations has issued its list of examination priorities for 2015.
Submitted: 12 January 2015
CFTC provides relief to CTAs from family office registration and limited recordkeeping.
Submitted: 26 September 2014
The SEC has indicated ongoing steps issuers may take to continue to rely on a Regulation D exemption, widely used by managers privately placing their funds in the US.
Submitted: 19 September 2014
In this article, Seward & Kissel report on the SEC’s recent settlement with ten investment advisory firms for filing violations under the Exchange Act.
CFTC provides exemptive relief allowing certain CPOs to engage in general solicitation and general advertising, removing discrepancies introduced by the JOBS Act.
Submitted: 09 April 2014
Brief overview of the implications for private equity fund managers of increased SEC scrutiny of expense allocations.
Submitted: 24 March 2014
Brief overview of issues arising regarding the Foreign Account Tax Compliance Act registration process for private investment funds.
Submitted: 07 March 2014
March 2014 edition of The Private Funds Bullet Report.
SEC reiterates its intention to examine a significant percentage of never-before examined registered investment advisers in 2014.
Submitted: 28 February 2014
2013 edition of The Seward & Kissel New Hedge Fund Study
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