New SEC Sanctions, Sears’ March to Oblivion, and China’s Japanification Sep17

Posted by & filed under Compliance, Hedge Fund Assets, Hedge Fund Investors, Press.

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SEC sanctions 19 firms and one individual trader for short selling violations The Securities and Exchange Commission (SEC) has imposed a further 20 sanctions in its continuing enforcement initiative against hedge fund advisers and private equity firms illegally participating in stock offers short selling the stock during a restricted period. The SEC last year announced the… Read more »

The “Sweep Exams”, a Richard Chilton Video, and an Industry in Flux Jun25

Posted by & filed under Compliance, Events, Hedge Fund Assets, Hedge Fund Investors, Press.

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Popular liquid alts funds face regulatory scrutiny The fastest-growing segment of the mutual fund business is facing new scrutiny this summer from regulators who say they plan to zero in on both the marketing of the funds and the investment strategies they employ. Sources familiar with the Securities and exchange Commission’s plan to focus on… Read more »

What Hedge Fund Managers and Directors Need to Know About Their Liability Mar12

Posted by & filed under Compliance.

Richard A. Maloy, Jr, CIC, CRM; CEO of Maloy Risk Services, Inc. has written a white paper discussing the potential liability that managers and directors face today. Some of the key points of the paper include the risk of high cost litigation, Obama’s continued pressure on the financial industry, and regulatory investigations. In this current… Read more »

SEC Staff Issues Interpretive Guidance on Recently Adopted Amendments to Rule 506 Addressing General Solicitation and Bad Actors Feb3

Posted by & filed under Compliance, Hedge Fund Marketing.

A legal update from Dechert’s Financial Services Group. Effective September 2013, the U.S. Securities and Exchange Commission (SEC) amended Rule 506 of Regulation D to (1) permit, in certain circumstances, an issuer to engage in general solicitation and general advertising in connection with Rule 506 offerings (General Solicitation Rules) and (2) disqualify issuers of securities… Read more »

Change is Here! Sep24

Posted by & filed under Compliance, Hedge Fund Marketing.

Change is here!  The long-awaited JOBS Act Rules become effective September 23, 2013, dramatically expanding the marketing flexibility for managers of private funds.  This newfound free speech provides important messaging and branding opportunities.  Traditional one-on-one capital raising (a/k/a “hand-to-hand-combat”) meets modern marketing activities and communication platforms.  How can you integrate public relations to leverage your… Read more »