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Private Equity and Investor Protection in the United States and in Europe

Toyou, Doris (2022) Private Equity and Investor Protection in the United States and in Europe. Doctoral Dissertation, University of Pittsburgh. (Unpublished)

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This dissertation discusses how securities regulation has expanded to reach sophisticated investors of private funds such as private equity, venture capital, and hedge funds. The Dodd-Frank Act in the United States (U.S.) and the Alternative Investment Fund Managers Directive (AIFMD) in the European Union (EU) embody a shift in securities law. Investment managers of private funds now have to register with regulators and file periodic reports if they manage assets above a set threshold (over $150 million in the U.S. and over 100 million euro ($114 million) in the E.U). Since registration of private equity managers with the Securities and Exchange Commission (SEC), several enforcement actions have been brought against managers. Based on federal securities law, the SEC stresses concerns with conflicts of interest and fiduciary duties managers owe to investors.
Unlike AIFMD, the Dodd Frank Act has not hampered the dynamic of fundraising and activities of private funds. Thus, Dodd Frank Act remains the law of the land within United States.


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Item Type: University of Pittsburgh ETD
Status: Unpublished
CreatorsEmailPitt UsernameORCID
ETD Committee:
TitleMemberEmail AddressPitt UsernameORCID
Committee ChairBranson,
Committee MemberOh,
Committee MemberLehn,
Date: 20 April 2022
Date Type: Publication
Defense Date: 28 October 2019
Approval Date: 20 April 2022
Submission Date: 17 January 2020
Access Restriction: No restriction; Release the ETD for access worldwide immediately.
Number of Pages: 177
Institution: University of Pittsburgh
Schools and Programs: School of Law > Law
Degree: SJD - Doctor of Juridical Science
Thesis Type: Doctoral Dissertation
Refereed: Yes
Uncontrolled Keywords: private equity, venture capital, hedge funds, investor protection, Dodd-Frank, AIFMD
Date Deposited: 20 Apr 2022 16:06
Last Modified: 20 Apr 2022 16:27

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