SEC Associate Director Robert Plaze’s April 8th letter to David Massey, President, North American Securities Administrators Association, Inc. (“NASAA“) states, “We anticipate that the Commission
Pay to play is the practice of making campaign contributions and related payments to elected officials in order to influence the awarding of lucrative contracts
When: Feb 29th, 2011 – 9:00 am to 11:00 am Where: Blank Rome LLP, The Chrysler Building, 450 Lexington Avenue, 22nd Floor Board Room Chief
We believe the beginning of 2011 is a suitable time to address several key issues facing investment advisers to private funds as they come to
The holidays provide the opportunity for us take a step back from the routine, remind ourselves of our priorities, and gain fresh perspective. Instead of
The effective date for the amended rules pertaining to the new ADV Form Part 2 is today, October 12th, 2010. Fortunately existing advisers have some
When: October 27th, 2010 Where: The Princeton Club of New York, New York City Janaya Moscony, President of SEC Compliance Consulting, Inc., will be chairing
Since the adoption of the Private Fund Investment Advisers Registration Act of 2010 on July 21, 2010, we have only registered a handful of private
Our Guide to SEC Registration for Private Fund Investment Advisers is a comprehensive guide to the registration process and ongoing compliance requirements after registration. The
Janaya Moscony, CFA, President of SEC3 says, “Once registered, private fund managers must follow the same rules as traditional managers. However, the difference in business
