Regulatory & Compliance
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Private Equity
SEC Issues Interpretive Guidance On The Venture Capital Fund Adviser Exemption
On December 2, 2013, the SEC's Division of Investment Management issued a new "Guidance Update" that provides some important interpretive guidance on the exemption from registration under the Investment Advisers act of 1940 (the "Advisers Act") for certain venture capital...
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SEC And DOJ Officials Discuss Foreign Corrupt Practices Act Enforcement Trends And Priorities
On November 19 and 20, 2013, the American Conference Institute held the 30th annual U.S. Foreign Corrupt Practices Act (FCPA) conference outside of Washington, DC. Keynote addresses were given by U.S. Department of Justice (DOJ) Deputy Attorney General James Cole and U.S. Securities Exchange...
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SEC’s Second Annual Report Summarizing Whistleblower Program Shows Little Change
On November 15, 2013, the U.S. Securities and Exchange Commission (SEC or the Commission) released its Annual Report to Congress on the Dodd-Frank Whistleblower Program (the Report).[1] The Report is remarkable for three reasons. First, the Report shows that, despite very significant...
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