The Coronavirus Aid, Relief, and Economic Security Act ("CARES Act") is the latest of numerous federal, state and local efforts to aid individuals and small businesses adversely affected by COVID-19. This alert is intended...more
On April 16, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert summarizing numerous issues it found in its recent examinations of SEC-registered...more
5/2/2019
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Securities and Exchange Commission (SEC)
Effective August 15, 2016, the net worth threshold for qualified clients under Rule 205-3 is increased from $2 million to $2.1 million.
If you have advisory agreements or subscription agreements that require a client or...more
On June 1, 2016, the SEC sent a warning to general partners of private investment funds (including private equity funds, hedge funds, venture capital funds and leveraged buyout funds) by entering into a settlement agreement...more