Verify Investor, Inc.
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Narrowing the Field: Critics argue that increased wealth thresholds will limit accredited investors, affecting capital raising for companies. What's your take on this potential shift? #CapitalRaising #SECChanges https://lnkd.in/gy3hvvM9
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Atominvest
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In August 2023, the U.S. Securities and Exchange Commission introduced new / enhanced regulation for private fund advisers. 📣*Existing funds in operation as of the compliance date with pre-existing written agreements will retain legacy status per current rules. Other vehicles will be affected.*Here are the key takeaways: 🗝️🔹No preferential treatment:Fund advisers not allowed to treat certain LPs preferentially unless this is disclosed.🔹Transparency and investor protection:Private fund advisers registered with the SEC must provide investors with quarterly statements and annual audited financial statements. Adviser-led secondary transactions require a fairness or valuation opinion.🔹Restriction on activities:Fund advisers must disclose / obtain investor consent to perform activities judged contrary to public + investor interest. Also no recharge of investigation costs for violations of Investment Advisers Act.Read the full press release over here: ⬇️https://hubs.li/Q028j_pR0Enhance your quarterly investor reporting with our cutting-edge software! 💪It automates performance reports, returns calculations, and simplifies document sharing with LPs. ⚡Find out more over here: https://hubs.li/Q028jY8j0 #InvestorReporting #FinTech #SEC #Atominvest #Regulation #PrivateFunds
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Preqin
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Insights+ subscribers, don’t miss your chance to get an executive summary, and uncover key findings of Preqin’s 2023 Private Capital Fund Terms Advisor Report brought to you by our resident experts RJ Joshua, CFA and Grant Murgatroyd. In this webinar, open exclusively to our Insights+ subscribers, we will deep dive into the world of private capital fund terms, exploring current trends in management fees, changes in performance fees, fund formation and governance costs as well as the use of SMAs. Whether you are a GP, LP, advisor, or service provider, attending the webinar will help you gain a competitive advantage in the current challenging environment. Register for free now: https://okt.to/BP9Mip#funds #fundmanagers #alternativeassets #alternatives
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See AlsoSEC Publishes Guidance on Regulation D - Accredited InvestorsUnderstanding Regulation D: A Quick Guide for Issuers | Verify Investor, Inc.Review of the Accredited Investor Definition Under Dodd-Frank | Alerts and Articles | Insights | Ballard SpahrSEC Adopts Updated Accredited Investor and Qualified Institutional Buyer Standards | Publications | Kirkland & Ellis LLPLike CommentTo view or add a comment, sign in
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The Industry Spread
1,401 followers
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SEC doubles down on fund names rule: "Growth", "Value", "ESG" better watch out - “As the fund industry has developed over the last two decades, gaps in the current Names Rule may undermine investor protection. Today’s final rules will help ensure that a fund’s portfolio aligns with a fund’s name. Such truth in advertising promotes fund integrity on behalf of fund investors.” The Securitieshttps://lnkd.in/eSEyxJGh
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Duncan Advisor Resources
333 followers
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Why choose Cambridge Investment Research, Inc. and Duncan Advisor Resources? 🤔Let us give you a few reasons:• Access to one of the broadest product footprints in the industry – and no proprietary products ✔️• We view your client accounts as truly belonging to you ✔️• Multiple brokerage clearing firms including Fidelity Institutional and Pershing ✔️• Succession and acquisition expertise and in-house financial lending ✔️• Our common-sense approach to compliance ✔️If you feel like this list is speaking to you – schedule a meeting with us to learn more about how we can help you build a better tomorrow. https://hubs.la/Q024ZxpD0#financialplannner #financialadvisor #brokerdealer #independentfinancialadvisor
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Buttonwood Due Diligence
1,048 followers
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Do alternative investments have you scratching your head on how to fulfill your Continuous Oversight obligations? Particularly those tricky private placement investments?Give us a call! We have a solution and it's easier than you think!Get a quarterly due diligence review, done by an actual third-party due diligence firm. We know stuff. We've seen stuff. We know how to make it easy to understand.Don't just get the quarterly update from the sponsor/manager telling you how great things are! Get a review based on research, analysis, and expertise in alternative investments.Background checks, asset verification, tracking of cash flows, financial performance, potential style drift, and much more!Get a customized review, tailored to cover the specific offering.#alternativeinvestments#duediligence#continuousoversight#fiduciaryduty#RIA#brokerdealer#ongoingduediligence#privateplacements#investmentresearch
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Eitan Leger
Chief Risk Officer | Chief Investment Officer / Portfolio Manager | Chief Analytics Officer / Chief Data Officer | Special Situations, Event Driven, Macro, Tactical & Arbitrage Investment Strategies
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The SEC has issued new rules regarding private funds. The immediate impact on your fund and Asset Management firm: more disclosure, and a better capital and liquidity management process. This requires more and cleaner data and a risk and data management process that reflects these new rules. Are you enabled? Let’s review and discuss the proper solutions. FINANCIAL FABRIC #datahub #ARBSTRATEGIES#datamanagement #regtech #risktech #assetmangement #liquiditymanagement #privatefunds
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Vidrio Financial
6,785 followers
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Are you wondering about the hurdles that #institutionalinvestors are facing with the latest SEC private fund regulations? Look no further than the latest blog post from Vidrio Financial! We have examined the increasing compliance costs and reporting requirements and will provide insights on how technology can help reduce the strain on navigating #privatefund investments . Check out our blog for this valuable intelligence!https://hubs.li/Q024d5jK0
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David Bicarregui
Chief Financial Officer at ICG
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We are executing our strategy.With almost £500m of asset management fees (last twelve months), we have the financial firepower and ability to take-long term decisions with confidence.We have multiple levers for exciting future growth.Find out more in our half-year results & presentation, published today: https://lnkd.in/e_ZCaeySCapital at risk. Past performance is not a reliable indicator of future returns.#PrivateMarkets #PrivateCapital #Alternatives
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Dr. Michael N Brette, J.D. Small Cap Equity Advisors
Michael N. Brette, J.D. | Doctor of Law. Investor in public companies. Raising capital with REG A+, REG D, SEC Compliance, NASDAQ, OTC, Advisory Board member to ( FinTech, Spirits Industry), Music publishing/copyrights.
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How to use REG A+ to raise capital? Who are the experts needed for a successful raise? How to prepare and file REG A+ with the SEC? Read the article for details and contact us today to begin your REG A+ offering. #capitalraising #capitalmarkets #crowdfundingcampaign #equityfunding #smallbusiness
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Marc Nichols, CIMA®, WMCP®, CDAA®
Digital Asset Product Director | Wealth Management Consultant
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Come stop by the EDGE stage from 8-9 at Wealth Management EDGE or join virtually via the link in the comments. CE approved!Timothy Kramer, Devon Drew, CIMA®, CRPC, Tyrone Ross Jr. and I are getting ready to dive into the next era investments that will attract the next generation of investors.Next gen investors are driving demand for digital assets and access to commodities like electricity. It is incumbent on financial advisors to meet investors where they are to deliver on the experience they are looking for.#imvestmentmanagement #wealthmanagement #RIAedge #financialadvisor #finance #investing
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