Buttonwood Due Diligence’s Post

BDO shares what registered fund managers and business development companies need to know about the U.S. Securities and Exchange Commission amendments to Rule 35-1 (the “Names Rule”) to be compliant. #FinancialAdvisers #FundManagers

The Securities and Exchange Commission proposed amendments to the rule permitting certain investment advisers that provide investment advisory services through the Internet to register with the Commission. Read more: https://bit.ly/45YbiKy #SEC #Reform #InvestmentAdviser #AdvisoryServices #EdgarFiling #Securex

In the current economic landscape, private firms increasingly need to comply with additional reporting requirements to meet regulatory and compliance obligations. One such growing need is for valuations for illiquid and hard-to-value assets to be independent by third-party specialists. Learn how our independent valuations service helped a global structured credit investment firm meet the needs of investors and regulators: https://lnkd.in/fVAQsH3 #privatecredit #privatemarkets #independentvaluations #valuationservices #regulatorycompliance #structuredfinance

Do alternative investments have you scratching your head on how to fulfill your Continuous Oversight obligations? Particularly those tricky private placement investments? Give us a call! We have a solution and it's easier than you think! Get a quarterly due diligence review, done by an actual third-party due diligence firm. We know stuff. We've seen stuff. We know how to make it easy to understand. Don't just get the quarterly update from the sponsor/manager telling you how great things are! Get a review based on research, analysis, and expertise in alternative investments. Background checks, asset verification, tracking of cash flows, financial performance, and much more! Get a customized review, tailored to cover the specific offering. #alternativeinvestments #duediligence #continuousoversight #fiduciaryduty #RIA #brokerdealer #ongoingduediligence #privateplacements #investmentresearch

If you are raising capital, you must comply with SEC regulations! There are many factors to consider, but here are three important tips when raising capital through the friends and family exemption: ✅ you must have a pre-existing substantive relationship (if you’re not sure what this is, DM me and I will explain) ✅ never misrepresent the sources and uses of the capital you intend to raise ✅ never promise any returns to your investors These are just a few tips you need to know when complying with securities regulations. Comment LEGAL and I’ll send you our quick reference guide to use when discussing deals with potential investors.

The SEC has recently rolled out groundbreaking rules for private fund advisers under the Investment Advisers Act of 1940. Get ready for a seismic shift in the industry! 💼 🔑 Key Takeaways 🔑 - Mandatory quarterly statements for investors, revealing fund performance and costs. - Annual audits now required for each advised private fund. - Adviser-led secondary transactions need fairness opinions. - Transparency rules: disclosure or investor consent required for certain actions. - Rules apply broadly but exclude securitized asset funds and some non-US clients. The SEC's move promises a new era of accountability and investor protection. Are you prepared for this shift? 💡 Read EY To the Point publication below. #investment #regulation #sec #privatefunds #investorprotection #transparency #compliance #financialaudit

Looking to raise investor capital? Any company raising funds must comply with the complex and strict reporting requirements of the Securities and Exchange Commission - unless they want to get an exemption and can qualify. It's not straightforward, but making the right decisions will keep you out of legal trouble while optimizing your best options. In this article, Michael Hackett explains the Reg D option. #SEC #investing

Investor Disputes: Understanding Mario Barone’s Alleged Unsuitable Investments Recommendation : In an industry where trust and transparency are paramount, recent developments regarding Mario Barone, a broker registered with LPL Financial, have turned the spotlight to issues of suability and investment health. A disclosure on Barone’s BrokerCheck record accessed on March 12, 2024 unveils an investor dispute, raising concerns and questions worth examining. Unsuitable Investments: Peeling […] https://lnkd.in/e7XiBznK