Fri, Oct 28, 2016
Welcome Guest
Free Trial RSS
Get FREE trial access to our award winning publications
Private Equity Strategies

Regs Watch: Brief Updates on Changes in Regulation for Private Equity

Friday, March 22, 2013

As journalists like me and lawyers have written ad nauseum, new and ever more regulations are in the pipeline for private equity and alternatives as a whole. Here we will hit on some of the cases of note and provide links to new guidance over the past month.

Wagstaff & Cartmell takes on private equity firms

Kansas City law firm Wagstaff & Cartmell LLP has a hand in a class action lawsuit targeting marquee private equity firms that is headed for trial.

SEC Spotlight on Private Equity Fund Managers – Compliance, Examination and Enforcement Issues

The SEC’s Office of Compliance Inspections and Examinations (OCIE) and the Asset Management Unit of the SEC’s Division of Enforcement (AMU) have recently spoken about the focus of both Divisions on private equity fund managers.

U.S. GOP tax lawmaker urges tighter U.S. partnership rules

The top Republican tax writer in the U.S. House of Representatives on Tuesday proposed shaking up taxation of privately held businesses in ways that would tighten rules on partnerships, such as private equity and hedge funds.

SEC Charges Private Equity Firm, Former Executive, and Consultant for Improperly Soliciting Investments

The Securities and Exchange Commission today announced charges against New York-based private equity firm Ranieri Partners, a former senior executive, and an unregistered broker who violated securities laws when soliciting more than $500 million in capital commitments for private funds managed by the firm.

SEC Finding Some Hedge Funds and Private Equity Groups are Not Complying with Custody Rule

The SEC has issued a Risk Alert on compliance with its custody rule for investment. It notes that with respect to advisers to audited pooled investment vehicles, its examinations found some failed to meet requirements to engage an independent accountant and demonstrate that financial statements were distributed to all fund investors.

SEC Settles First-of-its-Kind Asset Valuation Case

The SEC has opted to settle with KCAP Financial, Inc., f/k/a/ Kohlberg Capital Corporation, over misstatements of exit prices and fair value. The number of these such cases are on the rise, two others closed this month.

This article was published in Opalesque's Private Equity Strategies our monthly research update on the global private equity landscape including all sectors and market caps.
Private Equity Strategies
Private Equity Strategies
Private Equity Strategies

Today's Exclusives Today's Other Voices More Exclusives
Previous Opalesque Exclusives                                  
More Other Voices
Previous Other Voices                                               
Access Alternative Market Briefing

  • Top Forwarded
  • Top Tracked
  • Top Searched
  1. David Einhorn speaks on passive investing, Mylan, his cheapest stock, the Fed[more]

    From Greenlight Capital hedge fund manager David Einhorn (Trades, Portfolio) joined nine other famed investors on Tuesday to talk about stocks at the annual Great Investors’ Best Ideas Investment Symposium in Dallas. Presenters at the annual conference typically pitch one or severa

  2. Investing - Fund set up to buy illiquid hedge fund stakes finds plenty of opportunities, Lansdowne's Roden says likes animal genetics company Genus[more]

    Fund set up to buy illiquid hedge fund stakes finds plenty of opportunities From As ValueWalk reported back in February, earlier this year Andrew Lawrence set out to raise $250 million to $500 million for a fund that will buy stakes in hedge funds that have suspended redem

  3. Opalesque Roundtable: Style drift, poor communications and credibility fatigue are biggest red flags for hedge funds investors[more]

    Komfie Manalo, Opalesque Asia: Style drift, poor communications and credibility fatigue are the biggest red flags for hedge funds investors, said participants of the latest 2016 Opalesque Investor Roundtable, sponso

  4. Barclay CTA Index down 0.40% in September (+0.10% YTD)[more]

    Managed futures traders lost 0.40% in September according to the Barclay CTA Index compiled by BarclayHedge. The Index is up 0.10% year to date. “The US Fed, in spite of its hawkish tone, opted to hold rates steady which roiled financial markets,” says Sol Waksman, founder and president of BarclayHe

  5. Opalesque Exclusive: Meet Emma, your friendly A.I. helper[more]

    Benedicte Gravrand, Opalesque Geneva for New Managers: Shaunka Khire, who co-designed an artificial intelligence (AI) robot called EMMA/MANSI, talks to Opalesque