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March 2018 Archives

Protection of Aging Investors and Retail Investors a Continued Theme for SEC in 2018

protecting aging investorsWhen the SEC released its list of exam priorities for 2018, no one was surprised to learn that one of last year's themes concerning the protection of retail investors (and by extension, aging investors) continues into 2018. To quote the recently released document:

For Private Equity Firms, Marketing Provides Unique Opportunities (and Unique Compliance Dangers)

Marketing Private Equity PPM For private equity advisers, how to market a private equity fund in compliance with SEC rules should be a major focus area. Unlike hedge funds (which are usually evergreen), private equity funds have finite investment period and lifespans, and fund managers are out to market with their next private equity fund on a regular basis.

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1350 Columbia Street
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San Diego, CA 92101

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Phone: 619-298-2880
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