CFTC Regulation | Compliance Programs | Investment Advisers | Investment Advisers Act | Investment Company Act | Mutual Funds | Private Investment Funds | Regulatory Filings

Investment Adviser Compliance “To Do” List for 2020

Hardin Compliance Consulting compiled a list of regulatory deadlines for U.S. registered investment advisers, including advisers to private and U.S. registered mutual funds and those also registered as a CPO…

Blue Sky Filings | Private Equity Funds | Private Investment Funds | Private Placements | Regulatory Filings

The Devil is the Details Part 2: Form D and Blue Sky Filings Renewals and Amendments for Private Fund Managers

Private fund managers routinely rely on Regulation D (“Reg D”) to avoid registering their offerings with the Securities and Exchange Commission (“SEC”) under the Securities Act of 1933.   Rule 506 of Reg…