Seyfarth Synopsis: The Securities and Exchange Commission currently takes the view that "finders" who introduce potential investors to a company must register as brokers if they receive compensation based on the amount of...more
10/15/2020
/ Broker-Dealer ,
Financial Services Industry ,
Financial Transactions ,
Finders ,
Fund Managers ,
Investment Adviser ,
Investment Management ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation
ILPA Updates Its Best Practices Guidance in “Principles 3.0.” Responding to private equity and other alternative asset investment trends and new issues, the Institutional Limited Partners Association (ILPA) recently released...more
7/11/2019
/ Alternative Investment Funds ,
Capital Markets ,
Corporate Governance ,
Cost Allocation ,
General Partnerships ,
Institutional Limited Partners Association (ILPA) ,
Investment Opportunities ,
Line of Credit ,
Private Equity ,
Reasonableness Factors ,
Succession Planning ,
Transparency