Tag Archives: RIA

SEC Publishes Private Funds Statistics Report

The Securities and Exchange Commission (“SEC”)   recently published the Private Funds Statistics Report for Fourth Quarter 2014.  The  report provides private fund industry statistics and trends, reflecting aggregated data reported by private fund advisers on Form ADV and Form PF.  The report also includes statistics about the distribution of borrowings, an analysis of hedge fund … Continue reading SEC Publishes Private Funds Statistics Report

FinCEN Re-Proposes AML Rule for Investment Advisers

The U.S. Department of the Treasury (“Treasury Department”) submitted its Semiannual Regulatory Agenda for review by The Office of Management and Budget (“OMB”) in April 2015. The semiannual regulatory agenda of the Treasury Department includes regulations that the Financial Crimes Enforcement Network (“FinCEN”) has issued or expects to issue and rules currently in effect that … Continue reading FinCEN Re-Proposes AML Rule for Investment Advisers