The Preferred Return Podcast | Balancing Act: Strategies for GPs and LPs in Today's Market
[Podcast] Unlocking the Potential of Alternative Markets with HighVista Strategies’ Raphi Schorr
The Preferred Return Podcast | Spin-outs and New Fund Sponsors
Business Better Podcast Episode: Investing in Consumer Brands – A Conversation with SBJ Capital
New SEC Private Funds Rules – What Is Happening and What You Need to Know - Troutman Pepper Podcast
PLI's inSecurities Podcast - Alternative Asset Managers in the Crosshairs
PLI's inSecurities Podcast - Compliance and Enforcement Considerations for Private Funds & RIAs
Nota Bene Podcast Episode 133: What’s Driving the Shift Toward Renewable Energy? with Paul Kaufman and Ben Huffman
Challenges for Infrastructure Projects in the Current Environment
Investment Management and Private Funds Roundtable – June 2020
Investment Management and Private Funds Roundtable: TALF 2020 and PPP Update
Videocast: Asset management regulation in 2020 videocast series – The SEC’s proposed accredited investor definition
Protecting Intellectual Property - Investment Management Roundtable Discussion
Videocast: Asset management regulation in 2020 videocast series – Private fund regulatory developments
Investment Management Roundtable Discussion – Personal Estate Planning
Podcast: Private Funds Update: The UK Stewardship Code 2020
Podcast: Private Fund Regulatory Update – Network and Cloud Storage
Podcast: Private Fund Regulatory Update: Post-U.S. Government Shutdown
Podcast: Keeping Up with Recent Changes and Trends in Private Fund Regulation
SEC Activity with Fixed Income and Credit Funds
Under Section 5 of the Securities Act of 1933, all offers and sales of securities, including offers or sales of limited partnership interests or membership interests in a private fund, must be registered with the Securities...more
With March Madness upon us, the Securities and Exchange Commission (SEC) is joining the action by implementing a sweeping set of technical updates known as EDGAR Next that will change how all SEC filers access the Electronic...more
On December 20, 2024, the Securities and Exchange Commission (SEC or the “Commission”) announced charges against several entities that failed to file a Form D within 15 days of a private sale of securities. These entities,...more
On January 26, 2022, the U.S. Securities and Exchange Commission (the “SEC”) proposed amendments to Form PF and related rules (the “Proposed Amendments”) under the Investment Advisers Act of 1940 (“Advisers Act”). Form PF is...more
On January 26, 2022, the Securities and Exchange Commission (“SEC”) voted 3-1 to propose amendments to Form PF. The Form PF, which was initially adopted in 2011 and became effective on June 15, 2012, is a confidential report...more
On July 26, 2021, 21 investment advisers entered into settlements with the Securities and Exchange Commission to resolve charges that they failed to timely file and deliver their relationship summaries on Form CRS. Penalties...more
Relief Related to the Investment Advisers Act of 1940 On March 25, 2020, the Securities and Exchange Commission ("SEC") extended the time period for filing relief for Form ADV and Form PF. The Order extends the following...more
The SEC charged a hedge fund sponsor that manages private funds and separately managed accounts focused on global distressed, special situations, and opportunistic investing with failure to timely file a Schedule 13D. The...more
Investment advisers registered with the U.S. Securities and Exchange Commission (“SEC”) or with a state (“Advisers”) as well as commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the...more
On January 18, 2017, the SEC released 16 new FAQs relating to Form PF. Of these 16, 3 relate to general filing information and the remaining 13 are specific to particular sections of Form PF. As a reminder, Rule 204(b)-1...more