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Structural Difficulties Posed by Hedge Funds Investing In Illiquid Securities

As the number of hedge funds pursuing similar strategies has grown, managers have increasing looked to private equity and other illiquid assets to generate alpha. However, the traditional hedge fund...

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Virginia Proposes New IA Registration Exemption for Private Fund Advisers

On February 14, 2012, the Virginia Division of Securities and Retail Franchising (the “Securities Division”) proposed the adoption of a new rule exempting certain managers to certain private funds...

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Private Equity Funds Compliance Lapses Lead to SEC Sanctions

By Ryan Finn and Simon Riveles On March 11th, the SEC announced two decisions involving private equity firms that demonstrate its commitment to emphasizing the important role of compliance in...

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SEC issues No-Action Letter providing M&A Brokers with relief from...

By Simon Riveles and Simon M. Cooke On January 31, 2014, the SEC’s Division of Trading and Markets (the “SEC”) issued a No-Action Letter allowing an M&A Broker (defined below), to effect...

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SEC Launches New Group Focused on Private Equity & Hedge Funds

By Simon Riveles and Simon Cooke According to a report by Reuters, the U.S. Securities and Exchange Commission (“SEC”) has formed a group dedicated to examine private equity funds and hedge funds (the...

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Private Equity Funds Compliance Lapses Lead to SEC Sanctions

By Ryan Finn and Simon Riveles On March 11th, the SEC announced two decisions involving private equity firms that demonstrate its commitment to emphasizing the important role of compliance in...

View Article

SEC issues No-Action Letter providing M&A Brokers with relief from...

By Simon Riveles and Simon M. Cooke On January 31, 2014, the SEC’s Division of Trading and Markets (the “SEC”) issued a No-Action Letter allowing an M&A Broker (defined below), to effect...

View Article

SEC Launches New Group Focused on Private Equity & Hedge Funds

By Simon Riveles and Simon Cooke According to a report by Reuters, the U.S. Securities and Exchange Commission (“SEC”) has formed a group dedicated to examine private equity funds and hedge funds (the...

View Article


Private Equity Funds Compliance Lapses Lead to SEC Sanctions

By Ryan Finn and Simon Riveles On March 11th, the SEC announced two decisions involving private equity firms that demonstrate its commitment to emphasizing the important role of compliance in...

View Article


SEC issues No-Action Letter providing M&A Brokers with relief from...

By Simon Riveles and Simon M. Cooke On January 31, 2014, the SEC’s Division of Trading and Markets (the “SEC”) issued a No-Action Letter allowing an M&A Broker (defined below), to effect...

View Article

SEC Launches New Group Focused on Private Equity & Hedge Funds

By Simon Riveles and Simon Cooke According to a report by Reuters, the U.S. Securities and Exchange Commission (“SEC”) has formed a group dedicated to examine private equity funds and hedge funds (the...

View Article
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