Banking and Finance

Recent Posts

New Era in Private Capital Raising – Opening Up General Solicitation and General Advertising
Posted on 26 Aug 2015 by Sands Anderson PC

by David Carroll The next few years may be the largest watershed event in opening up private equity capital since the 1980s when Regulation D was first published by the Securities and Exchange Commission (“SEC”). By allowing general solicitation... Read More

New Era in Private Capital Raising – Opening Up General Solicitation and General Advertising
Posted on 26 Aug 2015 by Doug Esten

by David Carroll The next few years may be the largest watershed event in opening up private equity capital since the 1980s when Regulation D was first published by the Securities and Exchange Commission (“SEC”). By allowing general solicitation... Read More

Is a Mitt Romney Candidacy Good for Private Equity?
Posted on 11 Jan 2012 by Doug Cornelius

Mitt Romney puts his business background at the front of his campaign message. As the current front-runner for the Republican nomination, his background is going under increased scrutiny. Since his business background is in private equity, the industry... Read More

New Anti-Money Laundering Requirements for Non-Bank Mortgage Lenders and Originators
Posted on 9 Feb 2012 by Doug Cornelius

Private Equity has been siting on the fringes of Anti-money laundering regulation for many years. It's still illegal to be involved in money laundering and fund managers should be taking some steps to protect themselves and to identify problems... Read More

Compliance Technology Now a Necessity for Hedge Funds
Posted on 30 Jul 2013 by Judith Gross

Once viewed as a luxury reserved for only the largest hedge funds, compliance technology has entered the mainstream. The complexity of reporting obligations, combined with the expanded number of hedge fund investment advisers that are now registered with... Read More

Another Private Equity Filing Deadline Approaches: Do You Know Where Your BE-10s Are?
Posted on 20 May 2015 by Duane Morris LLP

The initial filing deadline is May 29, 2015, for those who need to report fewer than 50 foreign affiliates and June 30, 2015, for those who need to report 50 or more foreign affiliates. For those who have not heard, another filing requirement of the... Read More