Tag: Marketing
Advertising and Marketing Regulation | Disclosures | Regulatory Filings
FINRA Loosens Rules on Communications with Public
Contrary to the current trend of increasing regulation, the SEC recently approved some amendments to FINRA rules that will actually reduce some regulatory filings and disclosures for broker dealers. The…
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…
Advertising and Marketing Regulation | Hedge Funds | Investment Advisers Act | Performance Advertising and Reporting | Private Equity Funds | Private Investment Funds
How to Avoid “Cherry Picking” for Hedge Fund and Private Equity Fund Managers
July 16, 2014 By Jaqueline M. Hummel, IACCP®, AIFA® Managing Director For many hedge fund and private equity fund managers new to the world of SEC regulation, it comes as…
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…