Dodd-Frank Brings Regulatory Change to Investment Advisers

, New York Law Journal


Patrick D. Sweeney, a partner at Herrick, Feinstein, and Matthew H. Kunkes, an associate at the firm, write that Dodd-Frank enacted various new exemptions that focus on specific types of investment advisory activities, including exemptions and exclusions for (i) advisers who solely manage venture capital funds, (ii) advisers who solely manage private funds with less than $150 million in AUM, (iii) foreign private advisers, and (iv) family offices.

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