SEC could introduce financial competency exams to determine accredited investors

The Securities and Exchange Commission (SEC) is likely to change the definition of accredited investor either by increasing the income or net worth threshold, or by introducing financial competency examinations in what could make it harder for sma

Posted on: 22 Oct, 2014
Posted in: Regulation

CFTC harmonisation with SEC to have limited impact on JOBS Act take-up

The Commodity Futures Trading Commission’s (CFTC) decision to harmonise its rules governing advertising and general solicitation at alternative investment fund managers with those of the Securities and Exchange Commission (SEC) will have a limited

Posted on: 29 Sep, 2014
Posted in: Regulation

SEC threshold for accredited investor likely to increase in months

The Securities and Exchange Commission (SEC) is likely to re-define the income and net-worth threshold for what constitutes an accredited investor in what could make it harder for early-stage hedge funds and other private funds to solicit capital

Posted on: 12 Aug, 2014
Posted in: Investors

SEC will aggressively scrutinise firms taking advantage of JOBS Act

The Securities and Exchange Commission (SEC) will rigorously scrutinise the internal workings and compliance standards at private funds taking advantage of the liberalised marketing and advertising rules as mandated under the JOBS Act.

Posted on: 09 Jul, 2014
Posted in: Regulation

GAIM Ops Cayman: A summary

Here is a summary of the key points at GAIM Ops Cayman, which was held at The Ritz Carlton Hotel between April 7 and April 9.

Posted on: 10 Apr, 2014
Posted in: Investors

GAIM Ops Cayman: Lack of interest in JOBS Act among hedge funds

Hedge fund managers are still reluctant to take advantage of the liberalised advertising and marketing rules following the passage of the JOBS Act, according to panellists speaking at GAIM Ops Cayman.

Posted on: 08 Apr, 2014
Posted in: Regulation

SEC guidance to permit investor testimonials

Testimonials from investors on social media praising investment managers could be permitted following recently published guidance from the Securities and Exchange Commission (SEC).

Posted on: 04 Apr, 2014
Posted in: Investors

Operations for Alternatives (OFA) Conference: A Summary

Held in the opulent surroundings of the PGA National Resort & Spa in Palm Beach, Florida, the inaugural Operations for Alternatives (OFA) conference proved highly dynamic and well attended.

Posted on: 10 Mar, 2014
Posted in: Investors

OFA: Some fund managers could charge advertising to funds post-JOBS Act

There is debate as to whether fund managers can offset advertising and marketing expenses in the post-JOBS Act environment to the fund instead of paying for it through the management fee.

Posted on: 06 Mar, 2014
Posted in: Investors

OFA: JOBS Act could lead to greater hedge fund use of social media

Social media could become a major part of hedge funds’ marketing strategies following the successful passage of the JOBS Act.

Posted on: 05 Mar, 2014
Posted in: Regulation


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