Big Changes to Private Placement Rules?
Changes in advertising rules are certainly receiving plenty of attention. But anyone offering private fund securities in reliance on Reg D’s Rule 506 will be impacted by recent SEC actions. Among last...
View ArticleManagement in the Bull’s Eye
The attempt to ban SAC Capital’s Steven Cohen from the securities industry along with the decision to reject a proposed settlement with Harbinger’s Philip Falcone highlight the SEC’s continuing message...
View ArticleFive Developments that Will Change the Face of Your IT Department—Forever
Technology serves business objectives. And at hedge funds, technology departments are experiencing the shift that is reshaping the alternatives space: legal and regulatory requirements are now front...
View ArticleSEC Opens Compliance Kimono
On Friday, September 13 the SEC held a compliance outreach program in New York. The program was part of a nationwide series being offered in various cities throughout the U.S. that focus on how the...
View ArticleAsset Managers Swept into the Systemic Risk Vortex
Possibly one of the most important post-Dodd-Frank reports impacting asset managers was released this week by the Office of Financial Research (OFR). Asset managers have argued long and loud that they...
View ArticleWhen the SEC Examines a PE or VC Firm, What Is It Looking For?
The answer, at least in part, was supplied by Bill Delmage, Assistant Regional Director of the SEC’s New York Regional Office, in the keynote speech delivered recently at the Private Equity and Venture...
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