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Fund Compliance

Can an aspiring fund manager speak as an individual instead of on behalf of a Fund (being raised) at a conference or event?

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Community Member
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May 03, 2023
We are invited to a DEI in tech conference as a speaker and the organizer is asking me to speak as the MP of Axent Ventures about immigrant founders. We read the rules about General Solicitation. Shall we totally avoid pronouncing Axent and speak as “Guc” at the event? (event is backed by the state department)? 
1 answer
Accepted Answer
May 03, 2023
Possibly yes - but be careful. A fund manager should avoid mentioning a fund or thesis until the fund has been fully raised and closed.

https://govclab.com/2022/06/28/general-solicitation/

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