This article discusses certain U.S. reporting and compliance obligations for advisers and private funds.
March 21, 2023
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This article discusses certain U.S. reporting and compliance obligations for advisers and private funds.
March 21, 2023
IAA Comment Letter on Beneficial Ownership (Schedules 13D and 13G)
We recommend changes to proposed accelerated Schedules 13D and 13G filing deadlines, cash-settled derivative securities, and definition of a group.
April 11, 2022
SEC Amends Beneficial Ownership Rules
The SEC adopted amendments to rules governing beneficial ownership reporting, including shorter deadlines for initial and amended Schedule 13D and 13G filings.
October 10, 2023
Private Fund Adviser Fined Over Failure to File Amendments to Schedule 13D Filings
A New York-based private fund adviser was fined $100,000 in connection with failures to file amendments to Schedule 13D filings. A Schedule 13D filing is required to be made upon...
October 02, 2020
Schedule 13D, 13G and 13F Reporting for Investment Advisers
Outlines Articles and Memoranda
May 01, 2006
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