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You are here: Industry Hedge Funds Ropes & Gray: Private Investment Fund Update: November 2012

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ropesgraylogoPrivate Investment Fund Update: November 2012

Ropes & Gray
November 12, 2012
9 pages

In this Issue:
Regulatory Developments

  • SEC Publishes Letter to Private Fund Industry Regarding Upcoming Presence Exams 
  • Industry Groups React to Proposed Rules to Remove Prohibitions on General Solicitation and General Advertising in Certain Regulation D Offerings
  • New FINRA Rule 5123 on Private Placement of Securities 
  • Investment Adviser User Fee Legislation Introduced in Congress

Examination and Enforcement Action Developments

  • SEC Announces First Pay-to-Play Case Involving In-Kind Political Contributions
  • OCIE Focusing Risk Analytics on Branch Offices
  • Second Circuit Makes it Easier for SEC to Prove Aiding and Abetting Claims

Tax Related Developments

  • IRS Releases Draft Investor FATCA Certification Form
  • US and UK sign FATCA Intergovernmental Agreement

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