These are some of the compliance-related stories that recently caught my attention. AIFMD Update – US Private Fund Advisers Marketing in the UK in Compliance Avenue Recent news from the UK suggests that these AIFMs have most likely been granted a reprieve until July 22, 2014 to comply with AIFMD in the UK. Earlier this … Read more »
FINRA Issues Regulatory Notice on Communications Regarding Real Estate Investments
FINRA issued Regulatory Notice 13-18 on compliance with the communications with the public rule concerning communications about unlisted REITS and other real estate investments. Among other things, FINRA is concerned about the use of pictures of real property in the marketing materials. FINRA Rule 2210 regulates broker-dealer communications with the public. Clearly, based on the … Read more »
Private Equity Real Estate 50: Which are Registered with the SEC?
Private Equity Real Estate just released its ranking of the top 50 real estate private equity fund managers. As I have done in the past, I parsed the list to see which managers are registered with the Securities and Exchange Commission as investment advisers. (Disclosure: my company is on the list.) 1 The Blackstone Group … Read more »
Compliance Bricks and Mortar for May 3
These are some of the compliance-related stories that recently caught my attention. SAC to Begin Clawing Back Compensation in Insider Trading Cases by Peter Lattman in DealBook On Thursday, Mr. Cohen sought to convince SAC investors and regulators that he takes compliance seriously. In a letter to his investors, Mr. Cohen announced a broad set … Read more »
Day Two at PEI’s Private Fund Compliance Forum
These are my notes from the Thursday sessions at PEI Media’s Private Fund Compliance Forum 2013. The Day started out with a closed door session called the CCO Think Tank. Since the doors were closed, I’m not going to share any specific notes. The public sessions: What’s on the regulatory horizon and how will it … Read more »
Ensuring compliance in your marketing and solicitation procedures
These are my notes from the Private Fund Compliance Forum 2013. Paula Bosco, Managing Director, Chief Regulatory Counsel & CCO, New Mountain Capital, LLC Abrielle Rosenthal, Senior Principal & Senior Compliance Counsel, TowerBrook Capital Partners L.P. The JOBS Act is going to change things. We just don’t know when or how. However, most people think … Read more »
How technology can improve your compliance process
These are my notes from the Private Fund Compliance Forum 2013. Jacqueline M. Giammarco, Esq., Chief Compliance Officer, Stone Point Capital Stephen Pope, East Regional Sales Manager, Smarsh Shawn Pride, Partner, Ernst & Young LLP Arthur Zuckerman, Chief Operating Officer, Chief Compliance Officer & Partner, Avista Capital Partners Think about how the technology can help … Read more »
What’s on the regulatory horizon and how will it affect your compliance program
These are my notes from the Private Fund Compliance Forum 2013. They are live notes, so please forgive my typos. Christian B. McGrath, Managing Director & General Counsel, GTCR Jason Mulvihill, General Counsel, Private Equity Growth Capital Council Joel Wattenbarger, Partner, Ropes & Gray LLP Broker-dealer regulation in connection with the sale of private fund … Read more »
Day One at PEI’s Private Fund Compliance Forum
These are my notes from the various sessions at the Private Fund Compliance Forum 2013. Dodd-Frank a year on: Where is the compliance industry now? What to expect from the SEC in the year ahead Conducting your annual review to ensure compliance Successfully managing the resources of your office Impact of Foreign Regulations on Private … Read more »
The SEC is coming! The SEC is coming!
These are my notes from the Private Fund Compliance Forum 2013. They are live notes, so please excuse my typos. One thing that this past year has shown us is that at some point or another, sooner rather than later, the SEC will come knocking. This session will show you how to effectively prepare for … Read more »