SEC3 Offers Private Fund Registration and Compliance Services
Janaya Moscony, CFA, President of SEC3 says, “Once registered, private fund managers must follow t...
SEC3 Publishes Guide to SEC Registration of Private Fund Investment Advisers
On July 21st, 2010, the President signed into law the Dodd-Frank Wall Street Reform and Consumer Pro...
SEC Chicago letter resend to non-opens
If your firm has never been examined by the Securities and Exchange Commission (“SEC”), ...
SEC Chicago Letter – A precursor for private funds
The SEC seems to be initiating a trend and “pre-screening” managers. An April...
GS Case Will Ripple Through Industry
As widely reported and commented upon, on April 16, 2010, the Securities and Exchange Commission (&#...
Reg SHO – “SHO” me the money
The Securities and Exchange Commission (“Commission”) recently voted to amend Regulation...
Changing Paradigm at the SEC
Recent comments by various members of the Securities and Exchange Commission (“SEC”), in...
Reconciling Hedge Funds, the SEC and Material Non-Public Information
Tu·mul·tu·ous (adjective) marked by violent or overwhelming turbulence or upheaval. Imagine for a...
The Industry Speaks and the SEC Listens
2009 was a year of turmoil in the financial markets and the economy in general. With abuses and frau...
Risk: Operational vs Investment Risk
Successfully managing risk is key to achieving investment success. There are two major risks –...