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Is a Mitt Romney Candidacy Good for Private Equity?

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 should stop and wonder whether all of this publicity...

New Anti-Money Laundering Requirements for Non-Bank Mortgage Lenders and Originators

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. There's just no set script. FinCEN is supposedly...

Compliance Technology Now a Necessity for Hedge Funds

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 the SEC and CFTC, are the drivers of the increased...

Another Private Equity Filing Deadline Approaches: Do You Know Where Your BE-10s Are?

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 U.S. government will require action by participants...

New Era in Private Capital Raising – Opening Up General Solicitation and General Advertising

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 and general advertising in private offerings...