Filtered by Author: Judith Erwin (clear)

New Regulatory Considerations for Venture Firms

// Judith Erwin

September 5, 2013 - When it comes to regulations, it pays to stay diligent.  Last year’s implementation of Dodd Frank exempted venture capital firms from SEC registration for all the right reasons; however, other regulatory changes and trends are likely to affect venture capital firms. While not specifically targeted by the regulations, the impacts to venture capital firms may be fewer product options, increased regulatory compliance and changes to confidentiality norms.  Let’s consider three major issues facing the industry: Basel III, KYC & AML, and FATCA.
+ Read More