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17 entries found

Regulation
Fund audits: Turning compliance into an operational advantage
Fund Management
April 2026
Fund audits: Turning compliance into an operational advantage
With the right support, private equity, private credit, and venture fund audits don’t have to be stressful or confusing. Learn about the annual fund audit process for private funds, including legal requirements and investor expectations.
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Private equity compliance: A framework for fund growth
Fund Management
February 2026
Private equity compliance: A framework for fund growth
Learn how to build a strategic private equity compliance program that satisfies regulators, builds investor trust, and supports firm growth.
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Accredited investors: Rules and requirements
Private Funds
February 2026
Accredited investors: Rules and requirements
Understand the accredited investor rule, including the requirements for qualification, why the requirement exists, and how the accredited investor rules may change.
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AML and KYC: The fund operations mandate
Investors
November 2025
AML and KYC: The fund operations mandate
This article explains the core anti-money laundering and counter-terrorist financing regulations, as well as the importance of establishing a robust AML and CTF programme to protect your fund from the consequences of non-compliance.
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Qualified purchaser
Investors
June 2025
Qualified purchaser
A qualified purchaser can invest in unregistered securities. Learn how the SEC defines a qualified purchaser, how it differs from an accredited investor, and the requirements needed to qualify.
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Sections 3(c)(1) and 3(c)(7) of the Investment Company Act
Policy
April 2025
Sections 3(c)(1) and 3(c)(7) of the Investment Company Act
Learn the key differences between the exemptions for private funds offered by Section 3(c)(1) and Section 3(c)(7) of the Investment Company Act.
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Rule 144
Product Education
April 2025
Rule 144
Understanding SEC Rule 144 is essential for most private companies. Learn about Rule 144 of the Securities Act, the Rule 144 date and holding period, and how it could affect your business.
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Rule 701
Equity Education
February 2025
Rule 701
Under Rule 701, private companies can issue up to a certain amount of equity to employees in a 12-month period. Learn more about the Rule 701 exemption and its disclosure requirements.
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Rule 506(b) vs. Rule 506(c)
Investors
April 2024
Rule 506(b) vs. Rule 506(c)
Raising capital in a Rule 506(b) vs. Rule 506(c) offering is a critical choice for GPs of private funds. Learn the differences between these rules before fundraising.
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Exempt reporting adviser (ERA)
Venture Capital
March 2024
Exempt reporting adviser (ERA)
An exempt reporting adviser is a type of investment adviser that is not required to register with the SEC or a state securities regulator.
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Registered investment adviser (RIA)
Policy
January 2024
Registered investment adviser (RIA)
A registered investment adviser (RIA) is anyone whose work in the financial sector requires them to register with the SEC or a state securities authority.
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Form ADV
Venture Capital
January 2024
Form ADV
Form ADV is a disclosure document that all investment advisers must submit to the SEC and to relevant state securities regulators.
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