Tag: Rule 506(c)
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…