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Trend to Watch for 2012: Outsourcing Investment Adviser Compliance thumbnail

Trend to Watch for 2012: Outsourcing Investment Adviser Compliance

With all of the new regulatory changes, compliance will likely be a primary concern for registered investment advisers in 2012. For many small firms, complying will all...

Did You Hear? New Wave of SEC Enforcement Will Target Advisers thumbnail

Did You Hear? New Wave of SEC Enforcement Will Target Advisers

The word on the street is that the Securities and Exchange Commission is preparing for a new wave of enforcement that will specifically target investment advisers. As...

SEC Using Technology to Crack Down on Registered Investment Advisers thumbnail

SEC Using Technology to Crack Down on Registered Investment Advisers

Federal and state securities regulators are increasingly using technology to pursue enforcement actions against investment advisers. In fact, the Securities and Exchange Commission expects to bring an...

Can You Handle the Truth? SEC Targeting False Information on Advisers’ ADVs thumbnail

Can You Handle the Truth? SEC Targeting False Information on Advisers’ ADVs

As part of its stepped up enforcement activities, the Securities and Exchange Commission is targeting investment advisers who have been less than truthful on their registration forms....

Are You Prepared? Compliance Failures Can Lead to SEC Enforcement Actions for Newly Registered Advisers thumbnail

Are You Prepared? Compliance Failures Can Lead to SEC Enforcement Actions for Newly Registered Advisers

Under the new rules for investment advisers, advisers to private equity groups and hedge funds will be subject to the same registration requirements, regulatory oversight, and record...

New Requirements for Advisers to Private Funds: SEC Form PF thumbnail

New Requirements for Advisers to Private Funds: SEC Form PF

Advisers to private funds will have a host of new reporting requirements in the near future. As previously detailed on this blog, the SEC adopted amendments to...

New Rules for Investment Advisers: Is Your Family Office Required to Register Under the New Rules? thumbnail

New Rules for Investment Advisers: Is Your Family Office Required to Register Under the New Rules?

As we mentioned in previous blog post, the Dodd-Frank Act repealed the private adviser exemption and replaced it with several new exemptions from registration under the Investment...

New Rules for Investment Advisers: Have You Properly Calculated Your Assets Under Management? thumbnail

New Rules for Investment Advisers: Have You Properly Calculated Your Assets Under Management?

Under the new rules for investment advisers, one of the most important factors to take into consideration when determining whether a registered investment advisor should be registered...

New Rules for Investment Advisers: Do You Qualify for the Foreign Private Adviser Registration Exemption? thumbnail

New Rules for Investment Advisers: Do You Qualify for the Foreign Private Adviser Registration Exemption?

As we mentioned previously, the SEC has crafted a new set of rules for foreign private advisers. Advisers relying on this new exemption are not subject to...

New Rules for Investment Advisers: Does Your Venture Capital Fund Qualify Under the Grandfather Provision? thumbnail

New Rules for Investment Advisers: Does Your Venture Capital Fund Qualify Under the Grandfather Provision?

The new rules for investment advisers carve out an exception for pre-existing venture capital funds under a grandfather provision. Specifically, funds that meet the grandfathering criteria are...

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