IA Watch published a few recent document request letters in connection with SEC examinations of investment advisers. One is a document request letter sent to a private fund manager (sub. required). These are some of the items requested that caught my attention: Organizational chart showing ownership percentages investment strategy Amount of adviser’s equity interest Amount [...]
Archive | August, 2011
Report on Self-Regulatory Org. for Private Fund Advisers
Section 416 of the Dodd-Frank Act require the Government Accountability Office to study the feasibility of forming a Self-Regulatory Organization to oversee private funds. With the removal of the 15 clients exemption, many private fund managers will have to register for the first time by March 30, 2011. The GAO beat Congress’s deadline by 10 [...]
Social Media
My social media policies database is available to you.
Affilate
This website uses the Canvas Wordpress theme from WooThemes. (affiliate link)
