Securities, Private Funds, Compliance

Corp Fin Breathes New Life into 506(c)

Akin Gump Strauss Hauer & Feld LLP on 3/17/2025

On March 12, 2025, the U.S. Securities and Exchange Commission’s Division of Corporation Finance issued a no-action letter providing a new safe harbor for Rule 506(c) offerings, which may enable broader public outreach and...more

Bermuda investment funds – autumn 2024 update

Carey Olsen on 10/15/2024

Our investment funds team outline the latest developments within the investment funds market in Bermuda, addressing the recent statistics from Q2 2024 published by the Bermuda Monetary Authority (the "BMA") as well as the...more

SEC Strengthens Regulation 13D-G Rules for Beneficial Ownership Reporting

Proskauer Rose LLP on 10/20/2023

On October 10, 2023, the Securities and Exchange Commission adopted amendments to the rules governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. The adopting release...more

Fund Manager Securities and Compliance

Proskauer Rose LLP on 7/3/2023

This Webinar aims to provide some practical advice regarding Generative AI (“Gen AI”) and the issues its presents for private fund managers related to securities law and compliance. To the presenters, this is an dynamic time...more

SEC Enforcement: 2022 Year in Review

Pillsbury Winthrop Shaw Pittman LLP on 1/30/2023

On the heels of record-breaking enforcement in 2022, expect continued aggressive pursuit of Chair Gensler’s priorities in 2023. The SEC will continue to bring its considerable resources to bear to address ESG-related...more

2015-16 Compliance Developments & Calendar for Private Fund Advisers

Akin Gump Strauss Hauer & Feld LLP on 10/20/2015

Registered investment advisers (RIAs) are required to review their policies and procedures on at least an annual basis. As an aid to the required review and to assist with timely completion of required compliance tasks, below...more