Private Equity, Investment Adviser, Asset Management

Merit buys Sanctuary Wealth

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on 4/25/2025

Merit Financial Advisors, a financial advisory firm based in Georgia, recently announced its acquisition of Sanctuary Wealth Management, LLC, and Fiduciary Services, LLC. This deal will enable Merit to establish a presence in...more

Moving to the Channel Islands: A guide for asset managers

Walkers on 3/14/2025

Jersey and Guernsey have long been recognised as leading international investment hubs, offering asset managers a compelling mix of professional and lifestyle advantages....more

Predictions for 2025: What Private Fund Advisers Can Expect from SEC Examinations

SEC Compliance Consultants, Inc. (SEC³) on 3/10/2025

There has been a lot of conjecture that the SEC may become friendlier to registrants because of the new administration. Given the SEC’s mandate to protect the investing public, however, we do not expect SEC examiners to...more

Trusts as Qualified Clients: Understanding the Qualified Client Threshold for Trusts Investing in Private Securities - March 2025

Winstead PC on 3/10/2025

This article is the second of a three-part series discussing trusts in the context of certain common investor thresholds for investment in private securities. This article will examine trusts as “qualified clients” under the...more

Platform Deal Considerations

Seward & Kissel LLP on 2/21/2025

When presented with an opportunity to join an investment management platform, a prospective manager should carefully take into account the following considerations:...more

Latest SEC Document Request Lists: What Private Fund Managers Should be Worrying About

SEC Compliance Consultants, Inc. (SEC³) on 8/22/2024

Many private fund managers are breathing a sigh of relief after the Fifth Circuit struck down the Private Fund Rules (check out our blog post for more information). Do not, however, assume the SEC will stop its aggressive...more

SEC Announces the Formation of Asset Management Advisory Committee

Proskauer - The Capital Commitment on 11/6/2019

As a further indication of the SEC’s focus on the asset management industry, on November 1, 2019 the Commission formally established an Asset Management Advisory Committee. This follows the SEC’s recent announcement of its...more

Hedge Funds And Private Equity Groups On SEC Examination Priority List

Stinson - Corporate & Securities Law Blog on 2/25/2013

The Office of Compliance Inspections and Examinations, or OCIE, administers the SEC’s nationwide examination and inspection program. The National Examination Program, or NEP, has published its examination priorities to...more

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