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Searching Content indexed under Corporate/Commercial Law by Ropes & Gray LLP's Private Investment Funds ordered by Published Date Descending.
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Separately Managed Accounts – SEC Resolves One "Inadvertent Custody" Ambiguity
On June 5, 2018, the SEC's Division of Investment Management supplemented its Staff Responses to Questions About the Custody Rule to respond to a significant ambiguity in its prior custody guidance ...
United States
14 Jun 2018
2
Separately Managed Accounts – SEC Provides Guidance On "Inadvertent" Custody And Reliance On Standing Letters Of Authorization
The SEC's Division of Investment Management recently published a three-page Guidance Update, Inadvertent Custody: Advisory Contract Versus Custodial Contract Authority.
United States
6 Apr 2017
3
SEC Settles With Private Equity Fund Adviser Charged With Acting As An Unregistered Broker
A private equity fund adviser agreed to settle SEC charges that it engaged in broker activity and charged brokerage fees without registration.
United States
8 Jun 2016
4
SEC Proposes Incentive-Based Compensation Rule: How To Determine Whether Your Firm Will Be Impacted
The SEC recently released a proposed rule (the "Rule") with respect to the implementation of incentive-based compensation arrangements for certain "covered financial institutions" (which includes investment advisers).
United States
17 May 2016
5
Ropes & Gray Private Investment Fund Update: January 2016
The SEC recently discussed the developing role of chief compliance officers and emphasized key areas in which chief compliance officers should develop a clear understanding in order to increase their effectiveness.
United States
18 Jan 2016
6
SEC Proposes Amendments To Form ADV And Recordkeeping Rule
In late May, the Securities and Exchange Commission (the "SEC") proposed rules that would amend portions of Form ADV and rules promulgated under the Investment Adviser Act of 1940 (the "Advisers Act").
United States
2 Jun 2015
7
SEC Clarifies "Voting Equity Securities" For Purposes Of The Bad Actor Rules
The Securities and Exchange Commission (the "SEC") recently released additional guidance on the definition of "voting equity securities" as applied to the bad actor disqualification rules under Rule 506(d) of the Securities Act of 1933, as amended (the "Securities Act").
United States
18 May 2015
8
Second Circuit Raises The Bar For Proving Tippee Liability
Wednesday, the U.S. Court of Appeals for the Second Circuit vacated the criminal insider trading convictions of two former hedge fund managers, and in doing so, clarified the elements required to prove an insider trading charge against a "tippee."
United States
15 Dec 2014
9
Private Investment Fund Update: July 2014
SEC recently issued new guidance clarifying what constitutes a "beneficial owner" for purposes of the Bad Actor Rules.
United States
23 Jul 2014
10
Private Investment Fund Update: November 2013
The NY Fed recently amended the TIC Form B, and under the new requirements, private funds may have Form B reporting obligations with respect to certain liabilities to, and claims on, non-U.S. residents.
United States
21 Nov 2013
11
SEC Releases Guidance With Respect To Privately Offered Securities And The Custody Rule
The Division of Investment Management of the U.S. Securities and Exchange Commission has recently released an IM Guidance Update with respect to the custody rule, Rule 206(4)-2 under the Investment Advisers Act of 1940, as amended.
United States
6 Aug 2013
12
First Circuit Holds that Private Equity Fund May be Liable for Portfolio Company’s Multiemployer Plan Withdrawal Liability
In a decision (Sun Capital) with important implications for private equity sponsors, the U.S. Court of Appeals for the First Circuit has concluded that a private equity fund can be held liable for ERISA liabilities incurred by portfolio companies in which the fund has a sufficient stake
United States
27 Jul 2013
13
General Solicitation And Other Changes To Regulation D: The Impact On Private Funds
The Securities and Exchange Commission recently adopted an amendment to Rule 506 of Regulation D.
United States
17 Jul 2013
14
SEC Adviser Examinations Focus On Custody Rule Compliance
The SEC’s Office of Compliance Inspections and Examinations ("OCIE") found that approximately one-third of recent examinations that identified significant deficiencies involved custody-related issues.
United States
10 Mar 2013
15
Private Investment Fund Update: November 2012
On October 9, 2012, the United States SEC published a letter to newly registered investment advisers to introduce the National Exam Program.
United States
15 Nov 2012
16
The SEC Proposes Rules To Remove Prohibitions On General Solicitation And General Advertising In Certain Regulation D Offerings
The Jumpstart Our Business Startups Act enacted on April 5, 2012 (the "JOBS Act"), directed the SEC to amend Rule 506 of Regulation D.
United States
11 Sep 2012
17
Changes To Commodity Laws: What Private Equity Firms Need To Know
You may have read recently about the changes to the commodity laws resulting from the Dodd-Frank Act.
United States
10 Sep 2012
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