Displaying 14 results
Don’t rush to open private equity floodgates
Change is in the air over what constitutes an accredited investor but how far should the industry go?
State regulators oppose bill to allow private markets access through advisors
This idea may result in investors paying higher fees without requisite returns, argues state regulator.
Private securities investor threshold needs a rethink, warns advisor
Inflation, retirement savings growth expand pool of sophisticated investors, according to SEC Report.
SEC wrestles with how to open private-market door to ordinary investors
RIAs could serve as a portal to private placements for their clients, says member of an SEC advisory committee.
Alternative investments manager Ballast Rock joins RIA game
Ballast Rock Private Wealth will operate independently of Ballast Rock Asset Management, but both firms focus on offering alts to wealthy investors.
New fund brings private equity to the accredited masses
Bow River fund bets a Biden administration won't kill the PE market
Maxine Waters urges Biden administration to overturn Reg BI
The Chair of the House Financial Services Committee also targeted rules surrounding opening up private markets
Where opportunity meets responsibility
Examining the implications of the SEC expanded definition of an 'accredited investor' for private equity investors — and the advisers who serve them
Advisers wary of becoming gatekeepers to private markets
The Investment Adviser Association wants discretionary clients of fiduciaries to be accredited
SEC expands sophisticated investor pool
Democratic commissioners, other critics say the agency lacks understanding of risks posed by private market
House approves funding bill with provision to kill SEC’s private markets proposal
Advocates for alternative investments oppose the provision, which is not likely to survive in the Senate
SEC member: Advertising rule overhaul may be too vague
Commissioner Allison Herren Lee expressed concern the changes would cause compliance uncertainty
Brokers must act in best interests of sophisticated investors, SEC says
The latest update to Reg BI frequently asked questions asserts that the rule applies to high-net-worth customers
SEC moving toward opening private markets to more ordinary investors
Rulemaking agenda includes items on accredited investor definition, exempt offerings
