Tag: General Solicitation
Cash Solicitation Rule | Disclosures | Hedge Funds | Private Equity Funds | Referrals | SEC Risk Alert
12 Things You Need to Know about Adviser Referral Arrangements and the Cash Solicitation Rule
OCIE recently issued a Risk Alert on common exam deficiencies in complying with the Cash Solicitation Rule, Rule 206(4)-3, of the Advisers Act. It is not surprising that OCIE decided…
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…
CFTC Regulation
CFTC catches up with SEC Rule allowing General Solicitation
October 9, 2014 By: Denise Alfieri, Senior Compliance Consultant On September 9, 2014, the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission (CFTC) issued an…
Advertising and Marketing Regulation | Hedge Funds | Private Equity Funds | Private Investment Funds | Regulatory Filings | SEC News
New Rule 506(d) of Reg D and Bad Actors
August 20, 2013 Jaqueline M. Hummel, Managing Director On July 10, 2013, the Securities and Exchange Commission (“SEC”) adopted amendments to Rule 506 of Regulation D under the Securities Act of…