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Investment Funds Articles


Investment Advisers Faced a Tumultuous Regulatory Year
By: Ira R. Halperin and Gisella Rivera

In 2011, the executive legislative and judicial branches of the U.S. government focused their not inconsiderable efforts on the regulatory regime surrounding investment advisers.


Exemptions from Registration Under the Advisers Act
By: Gisella Rivera

Pursuant to final rules adopted by the Securities and Exchange Commission effective July 21, 2011, family offices, foreign private advisers and investment advisers to venture capital funds and to private funds with assets under management of less than $150 million are exempt from registration under the Investment Advisers Act of 1940, as amended (the “”visers Act”).

Through the Looking Glass (Inside the World of Private Funds)
By:Gisella Rivera

This article presents how recent regulatory initiatives benefit investors in private funds. Private fund industry participants, particularly compliance officers of private fund advisers, closely monitor proposed regulations to determine how such proposals affect the business and operations of private fund advisers.

Accredited Investor Today Not Tomorrow
By:Gisella Rivera

Individual investors can no longer include the value of their primary residence when calculating their net worth for purposes of determining whether they are eligible as “accredited investors,” to purchase unregistered and unlisted securities.