Tag Investment Adviser
SEC Proposes Overhaul of Cybersecurity Regulations for Private Fund Advisers
On February 9, 2022, the Securities and Exchange Commission (SEC) issued a new proposed rule that would overhaul the cybersecurity regulations for registered investment advisers, registered investment companies, and funds. This post focuses on the provisions that impact private fund advisers.
Summary of the SEC’s New Proposed Rules Impacting Private Funds
On February 9, 2022, the Securities and Exchange Commission (SEC) proposed significant changes to, and expansion of, regulations of advisers to private funds. he new proposed rules are the most significant changes to the regulation of private fund advisers since SEC's rules requiring them to register became effective in 2012. This post summarizes the proposal.
Handling Trade Errors: Best Practices for Private Fund Advisers
The best way for advisers to minimize the costs of trade errors is to accept that such errors occur and create a sound plan of action for when they do.
The Different Meanings of the Word “Registration” for Private Funds
Even if a private fund adviser is exempt from registration as an investment adviser, it may be subject to other federal and securities laws. This post summarizes the relevant legal issues.
Intro to Private Equity Funds
A private equity fund is an investment entity that raises capital from investors to make investments in private companies under a specified investment strategy. This post is an introduction to what you need to know.