Advisers relying on the Private Fund Adviser¹ or the Venture Capital Fund Adviser Exemption² (“ERA”), are exempt from registration but remain subject to certain reporting and compliance obligations. Exempt…

Regulation A is an exemption from registration for public offerings. There are two options available, each with its own distinct (but some similar) requirements, referred to as Tier 1 and…

Under the Securities Exchange Act of 1934[1], as amended (the “Exchange Act”), advisers who exercise investment discretion over accounts that hold exchange-traded securities may be subject to reporting requirements as…

As noted in Part 2 of this series of articles on blue sky filings, private funds (“issuers”) relying on an exemption from registration of their offerings are required to submit…

Like other private fund managers, those advising offshore funds offered in the United States (“U.S.”) routinely rely on Regulation D (“Reg D”) to avoid registration with the SEC under the…

With all the filings regulators require these days, just getting started can seem daunting.  Luckily, Hardin Compliance Consulting, LLC (HCC) is here to help!  HCC has years of experience in…

The Cayman Islands Monetary Authority (“CIMA”) made a number of key changes to its anti-money laundering (“AML”) regulations in 2018 (the “AML Regulations”) including expanding their reach to unregulated entities,…

As of July 1, 2018, companies and limited liability companies incorporated or registered in the Cayman Islands are required to maintain a beneficial ownership register at their Cayman Islands-registered offices…