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Expert Advice

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Compliance Column

Rules & Exam Priorities: A Reflection On 2023 & Preparation For 2024

03.06.24
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Guest Column: When Fund Managers Lose The Sale At The Initial Investor Meeting

Is your money management firm too of­ten striking out in its early due diligence/get acquainted meetings with sophisti­cated investors?

02.07.24
Compliance Column: Private Fund Rule Series: Part 4 Preferential Treatment Rule
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Compliance Column: Private Fund Rule Series: Part 4 Preferential Treatment Rule

This article examines the Preferential Treat­ment Rule adopted on Aug. 23 as part of the Securities and Exchange Commission’s new Private Fund Rule.

02.07.24
Compliance Column
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Compliance Column

Private Fund Rule Series: Part 3 Restricted Activities Rule

01.11.24
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Compliance Column

Private Fund Series: Financial Statement Audit & Adviser-Led Secondaries Rules

12.06.23
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Compliance Column

Private Fund Series: Quarterly Statement Rule & Written Annual Review

11.01.23
Q&A With Jamil French Of FisherBroyles, LLP
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Q&A With Jamil French Of FisherBroyles, LLP

The Securities and Exchange Commission adopted new Investment Advisers Act rules (“Rules”) on Aug. 23 that aim to protect investors in private funds by imposing restrictions on and requiring transparency into certain adviser practices.

11.01.23
Compliance Column
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Compliance Column

The Use Of Hypothetical Performance

10.04.23
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Compliance Column

Breaking Down The Code Of Ethics Reporting Requirements

08.02.23
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Compliance Column

IAR Continuing Education Requirements: What You Need To Know

07.05.23