SEC: Key Trigger Dates
The SEC has recently updated its Q&A on Part 2 of Form ADV. It clarified certain sections of the new form and explained how to respond in certain scenarios. Key take-aways from the update include:...
View ArticleCompliance Alert: Registration for hedge fund/private fund advisers
On Wednesday, June 22nd, the SEC is holding an Open Meeting to discuss the proposed registration rule for private fund advisers, the proposed exemptions to registration for certain private fund...
View ArticleHedge Fund Compliance Alert: Broker-Dealer Financial Audits Under Scrutiny
The SEC last week released a proposal that would strengthen the financial audit standards for broker-dealers under Exchange Act Rule 17a-5, hedge fund regulatory expert FrontLine Compliance reported...
View ArticleHedge Fund Alert: “Spinning Prohibition Rules” effective Sept 26
Via Sadis & Goldberg – All hedge fund managers that invest in “new issues” will need to update their funds’ Subscription Documents for new investors and recertify their existing investors in order...
View ArticleHedge Fund Compliance: SEC Private Fund Registration Deadline
Private fund adviser registration is here, meaning a whole new world of compliance risk has become a reality. Successful registration means more than just filling out a form and the March 2012 deadline...
View ArticleClik here to view.
7 Subtle Mistakes that Cripple Family Office Management
by David Drake Family office management can be both rewarding and challenging at the same time. For beginners, families can be overwhelmed by the sense of liability and complexity that is...
View ArticleDITMo: “TRUMP TARGET: AVERTING TAXES – THREE EXPLOITED LOOPHOLES”
16Nov16 by Pj de Marigny, DITMo Capital, Newport Beach, CA For those who consult in the private wealth area and for estate attorneys (some who have turned advisor for the huge insurance commissions),...
View ArticleClik here to view.
Family Offices: Boutiques And Big Banks Vie For $46T In Assets
Family office businesses are booming around the globe, largely in response to increased demand from a growing demographic – wealthy individuals with at least $1m in investable assets. That...
View Article
