Investment advisers to venture capital funds are exempt from registration under the Investment Advisors Act if certain requirements are met. Amongst those requirements is that certain investments be made in qualifying...more
9/28/2015
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Financial Institutions ,
Investment ,
Investment Adviser ,
Investment Companies ,
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No-Action Letters ,
Portfolio Managers ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Venture Capital
Consulting Services Group, LLC, or CSG, was a registered investment adviser whose business included providing consulting services to public pension funds. These consulting services included recommending third-party investment...more
The SEC’s Office of Compliance Inspections and Examinations, or OCIE, previously announced that its 2014 Examination Priorities included a focus on technology, including cybersecurity preparedness. OCIE has issued a Risk...more