More Regulatory & Compliance Articles

Private Equity

SEC Issues Interpretive Guidance On The Venture Capital Fund Adviser Exemption

On December 2, 2013, the SEC's Division of Investment Management issued a new "Guidance Update" that provides some important interpretive guidance on the exemption from registration under the Investment Advisers act of 1940 (the "Advisers Act") for certain venture capital...

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Anti-Corruption

SEC And DOJ Officials Discuss Foreign Corrupt Practices Act Enforcement Trends And Priorities

On November 19 and 20, 2013, the American Conference Institute held the 30th annual U.S. Foreign Corrupt Practices Act (FCPA) conference outside of Washington, DC. Keynote addresses were given by U.S. Department of Justice (DOJ) Deputy Attorney General James Cole and U.S. Securities Exchange...

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Regulatory & Compliance

SEC’s Second Annual Report Summarizing Whistleblower Program Shows Little Change

On November 15, 2013, the U.S. Securities and Exchange Commission (SEC or the Commission) released its Annual Report to Congress on the Dodd-Frank Whistleblower Program (the Report).[1] The Report is remarkable for three reasons. First, the Report shows that, despite very significant...

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