In the face of some pay-to-play scandals involving investment advisers and government sponsored investment fund officials, the Securities and Exchange Commission slapped restrictions on the ability of investment advisers and fund managers to make political contributions. Rule 206(4)-5 prohibits an investment manager or fund manager from collecting fees for two years if the firm or [...]
Tag Archives | Political contributions
- SEC Warns About Exemptive Order Compliance
- SEC’s Compliance Outreach Program
- Compliance Bricks and Mortar for May 17
- Placement Agents and the SEC Inquiry of Private Fund Broker Dealer Requirements
- AIFMD in the UK
- Compliance Bricks and Mortar for May 10
- FINRA Issues Regulatory Notice on Communications Regarding Real Estate Investments
- Private Equity Real Estate 50: Which are Registered with the SEC?
- Compliance Bricks and Mortar for May 3
- Day Two at PEI’s Private Fund Compliance Forum
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Dodd-Frank’ed Real Estate
The Dodd-Frank law brought many real estate private equity firms into the world of the Investment Advisers Act. These are some key stories on the topic: