Category: Private Placements
Broker Dealer | Hardin News | Investment Advisers | Private Equity Funds | Private Placements | Referrals
Practical Thought Leadership – Common Myths About Finders, Solicitors, Unregistered Broker-Dealers and the “Issuer Exemption”
Hardin is pleased to share this recent contribution to the National Society of Compliance Professionals (NSCP) Currents: Common Myths About Finders, Solicitors, Unregistered Broker-Dealers, and the “Issuer Exemption” by Partner…
Blue Sky Filings | Private Equity Funds | Private Investment Funds | Private Placements | Regulatory Filings |
The Devil is in the Details Part 4: Blue Sky Amendments for Private Fund Managers
With laws varying by state, keeping up with blue sky filing requirements can be a headache. Many state laws don’t mention amendments (or renewals), but does that mean they…
Blue Sky Filings | Private Equity Funds | Private Investment Funds | Private Placements | Regulatory Filings
The Devil is in the Details Part 3: Blue Sky and Form D Filing Requirements for Offshore Funds
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…
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…
Blue Sky Filings | Private Equity Funds | Private Investment Funds | Private Placements | Regulatory Filings
The Devil is in the Details Part 1: A Primer on Form D and Blue Sky Filings for Private Fund Managers
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…
Blue Sky Filings | Hardin News | Hedge Funds | Private Equity Funds | Private Investment Funds | Private Placements | Regulatory Filings
Hardin Compliance Now Offers Blue Sky Filings Services for Hedge and Private Fund Managers
Complying with Blue Sky Laws can be complicated and burdensome, and engaging outside counsel to perform the filings can be expensive. At Hardin, we have the consultants and tools necessary…
Compliance Programs | Form ADV | Investment Advisers Act | Investment Company Act | Private Equity Funds | Private Investment Funds | Private Placements | Regulatory Filings
Investment Advisers Compliance “To Do” list for 2016 SEC Regulatory Deadlines for Investment Advisers
Updated February 2016 By: Jaqueline M. Hummel, Managing Director Samuel W. Pangas, Compliance Associate With the help of Sam Pangas, my compliance colleague at Hardin Compliance Consulting, we have compiled…
Compliance Programs | Private Equity Funds | Private Investment Funds | Private Placements |
2015 Regulatory Review for Investment Advisers, Hedge Funds and Private Equity Funds: Part 2 of a 2-part Series
November 6, 2015 By: Jaqueline M. Hummel, Managing Director As promised, I am continuing my two-part series, with this article providing additional recommendations for private equity and hedge fund managers…