Tag Archives: Private equity


SEC Charges PE Firm with Misallocation of Expenses

Dear Friends, The SEC charged a private equity firm with breaching its fiduciary duty to its funds, by sharing expenses in a manner that improperly benefited one fund over the other, resulting in a $2.3 million settlement. The firm integrated two portfolio companies and managed them as one, owned by two funds. From 2005 – 2013, the firm allocated expenses […]

Private Equity: Real Returns, Real Risks

Private equity has quickly become a global industry.  In the past three decades, private equity has accounted for $2.6 trillion in total assets from all sectors and almost all regions of the world.   Private equity’s growth in both size and returns has attracted the interest of many new players, including family offices that represent high net worth individuals and […]

Investment Outlook 2014: Are you Ready to Race with Stallions?

By David Drake, The Soho Loft   The year 2014 will be full of change and innovation in the finance and investing landscape as many newcomers will enter the game of finance. Here are some of the changes and trends that we see for the year 2014:   1. JOBS Act   SEC will try to make it clear for […]

A Storm is Coming: PE Funds Fall Under Reg D 506

By David Drake In spite of prior delays, on August 29, 2012, the Securities and Exchange Commission finally issued its first proposals for rules under the Jobs Act that would relax general solicitation for accredited investors. Signed into law on April 5 2012, the Jumpstart Our Business Start-ups (JOBS) Act makes revolutionary changes to federal security laws that are over […]

Hedge Fund Regulation: It’s Back!

Reposted from “Hedge Fund Regulation: It’s Back” on the Intralinks.com Blog. And this time it’s taking private equity and venture capital with it. First, let’s quickly rewind to 2006, when hedge funds throughout the U.S. were completing their ADV and implementing technology to retain their e-mails and documents. At the time, they were anticipating having to register with the SEC […]

What is the difference between hedge fund capital introduction and third party marketing?

This is a re-post of the original article from Evan Rapoport’s Capital Introduction Blog I often hear the terms Capital Introduction and Third Party Marketing used interchangeably. They actually however, represent two different services within the hedge fund asset gathering space. Capital Introduction is a service usually provided by hedge fund prime brokers. The biggest teams coming from the largest […]