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On February 9, 2012, the Commodity Futures Trading Commission (“CFTC“) rescinded certain exemptions from registration previously available to private funds and SEC-registered investment companies that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
Forms SLT, SHC and S are part of the reporting requirements of Treasury International Capital (“TIC”) reporting system administered by the U.S. Department of the
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
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
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
