The Private Investment Funds Subcommittee of the New York State Bar Association recently organized a meeting on the Securities and Exchange Commission’s (“SEC”) risk-based examination
How to Design an Appropriate Electronic Communications Review A frequent question we receive from both established and newly registered advisers concerns the proper review of
What would you ask the SEC? Clients and Friends: As you may know from our client alerts and website, we have been invited to
Adequate Supervision Section 203(e)(6) of the Investment Advisers Act of 1940 permits the SEC to bring an enforcement action against a registered investment adviser or
State Law versus Federal: Who will protect the CCO? We may not be the first to tell you, but it is important to note that
Private fund advisers that will be required to register with the Commodity Futures Trading Commission (“CFTC”) and become members of the National Futures Association (“NFA”)
The question on the minds of all new registrants. We now have the answer. Many should expect and prepare to be examined potentially this coming
To ensure continued high service levels are provided to our hedge fund clients, SEC Compliance Consultants, Inc. (SEC3) is pleased to announce the addition of
On February 9, 2012, the Commodity Futures Trading Commission (“CFTC“) rescinded certain exemptions from registration previously available to private funds and SEC-registered investment companies that
President Obama signed into law the Jumpstart Our Business Startups Act (“JOBS Act”) which liberalizes the way private placements are conducted and allows general solicitation
