Banking and Finance

Recent Posts

Reporting Requirements for Funds Exempted from Investment Advisers Act Registration
Posted on 28 Sep 2011 by Asher Bearman

As a result of the new rules under the Investment Advisers Act of 1940, even fund managers that are exempt from registration will need to file annual reports with the SEC. Exempt reporting advisers (" Exempted Advisers "), including fund... Read More

SEC to Revise Investment Adviser Rules under the Dodd-Frank Act?
Posted on 10 Jun 2011 by Asher Bearman

The SEC announced yesterday that it will be holding an open meeting on June 22, 2011, evidently to discuss new proposed changes to the new Advisers Act rules pending under Dodd Frank. For fund managers concerned about becoming subjected to Advisers... Read More

Deciphering the SEC’s New Definition of a “Venture Capital Fund”: Part 2 – The “Holding Out” Requirement
Posted on 6 Oct 2011 by Alexander Davie

This is the second post in a series exploring recent SEC regulations which define the term "venture capital fund" for the purposes of determining whether a fund's manager is exempt from SEC registration requirements under the Dodd-Frank... Read More

Venture Capital Fund Exemption from Registration under the Advisers Act (Final Dodd-Frank Act Rules)
Posted on 5 Jul 2011 by Asher Bearman

As contemplated by the Dodd-Frank Act, advisers that only manage venture capital funds will be exempt from the new registration requirements imposed upon private fund advisers under the Investment Advisers Act of 1940 (the " Advisers Act ")... Read More

Deciphering the SEC’s New Definition of a “Venture Capital Fund”: Part 1 – An Overview
Posted on 30 Sep 2011 by Alexander Davie

This is the first post in a series exploring the recent SEC regulations which define the term "venture capital fund" for the purposes of determining whether a fund's manager is exempt from SEC registration requirements under Dodd-Frank... Read More

SEC May Inspect Fund Managers - How to Prepare
Posted on 16 Sep 2011 by Asher Bearman

Recently, several developments have changed the regulatory landscape. First, beginning March 30, 2012, title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) will eliminate an exemption that many advisers to private... Read More