Last week, the Securities and Exchange Commission’s Division of Examinations (“DOE”) issued a Risk Alert (the “Alert”) entitled “Initial Observations Regarding Advisers Act Marketing Rule Compliance.” The Alert describes...more
Part 2 of the Paul Hastings’ Investment Funds and Private Capital team’s review of the new Private Fund Rules explores the new rules in-depth, and provides additional perspective on market practices that may evolve in...more
9/14/2023
/ Audits ,
Competition ,
Documentation ,
Exempt Reporting Advisers (ERAs) ,
Grandfathering Rules ,
Illiquid Assets ,
Investment Funds ,
Investment Portfolios ,
Legacy Funds ,
Preferential Trade Status ,
Principal Place of Business ,
Private Funds ,
Quarterly Report ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Stocks