News & Analysis as of

Private Equity Investment Adviser Financial Services Industry

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Merit buys Sanctuary Wealth

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

Walkers

Moving to the Channel Islands: A guide for asset managers

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

Seward & Kissel LLP

Platform Deal Considerations

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

Morrison & Foerster LLP

Extended Compliance Date for Recent Form PF Amendments

The new year always marks the start of a busy regulatory filing season for registered investment advisers, including investment advisers that file Form PF (“Form PF Filers”). This year could be especially challenging since,...more

Conyers

ケイマン諸島籍クローズドエンドファンドに関する規制に要注意

Conyers on

ケイマン諸島は世界有数のオフショアファンド法域です。2023年時点でのケイマン諸島における登録ファンド数は約29,500で、ケイマン諸島籍ファンドは、全世界の米国籍以外のファンド全体の68%を占めています。...more

Conyers

Attention! Know The Regulatory Obligations Of Your Cayman Closed-Ended Fund

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The Cayman Islands is a pre-eminent offshore funds jurisdiction. In fact, with around 29,500 registered funds in 2023, Cayman accounts for 68% of funds set up outside of the United States....more

Katten Muchin Rosenman LLP

Key LP Investments Trends in 2024 and Beyond

C.S. Lewis once wrote, "Onwards and upwards! To Narnia and the North," and this seems to have been echoed by the private equity market in 2024 thus far. Except this time, it appears the destination is not Narnia but rather...more

SEC Compliance Consultants, Inc. (SEC³)

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

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

Cadwalader, Wickersham & Taft LLP

Chevron and Carry On July 2024 - Investec’s Secondaries Report 2024 Out Now

Investec’s latest Secondaries Report, Charting a course for further growth is out now. It’s packed with the latest insights on the secondaries market and explores the exceptional performance over the last year, despite deep...more

Sheppard Mullin Richter & Hampton LLP

What Private Equity Firms Need to Know About the Ongoing SEC Investigation of “Off-Channel” Communications

Over the last several years, the Securities and Exchange Commission (“SEC”) has been laser-focused on the use of so-called “off-channel communications” in the financial services industry. On the theory that employees’ use of...more

Jones Day

SEC Adopts Long-Awaited and Heavily Debated Private Fund Adviser Rules

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The U.S. Securities and Exchange Commission ("SEC") adopted multiple rules that will impact private funds, governing documents, and side letters....more

Morgan Lewis

SEC Amends Form PF to Expand Hedge Fund and Private Equity Fund Disclosure

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The US Securities and Exchange Commission (SEC) on May 3, 2023 voted 3-2 to adopt amendments to Form PF that will impact the required reporting for certain SEC-registered investment advisers in the private fund industry (the...more

Goodwin

CFPB Announces Supervision of Nonbanks and Seeks Comment on Risk-Determination Procedures

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Regulatory Developments - CFPB Announces Supervision of Nonbanks and Seeks Comment on Risk-Determination Procedures - On April 25, the CFPB announced its intention to supervise nonbanks, including fintechs, whose...more

Morgan Lewis

Licensing Requirements for Private Equity Firms in Hong Kong – Part 3

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On the theory that three’s a charm, our third and final blog on Hong Kong private equity activities will take a look at Asset Management (Type 9) activities, which are among the most relevant regulated activities for private...more

Morgan Lewis

Licensing Requirements for Private Equity Firms in Hong Kong – Part 2

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In our first blog on Hong Kong private equity licensing, we looked at Dealing in Securities (Type 1). This second blog deals with Advising on Securities (Type 4)....more

Troutman Pepper Locke

Private Equity Investments in Health Care Practices

Troutman Pepper Locke on

Private equity funds are generally prohibited from owning entities that employ licensed professionals and may not invest directly in medical or dental practices in many states because of laws that prohibit the corporate...more

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