The SEC’s Office of Compliance Inspections and Examinations, or OCIE, recently issued a risk alert titled “Examinations of Advisers and Funds That Outsource Their Chief Compliance Officers.” According to the alert, OCIE...more
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
/ Exemptions ,
Financial Institutions ,
Investment ,
Investment Adviser ,
Investment Companies ,
Investment Funds ,
Investment Management ,
Investment Portfolios ,
No-Action Letters ,
Portfolio Managers ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Venture Capital