Illegal Activity
none
Blackmail
none
Date
2013-09-23
Document Type
letter
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This letter from Deutsche Asset & Wealth Management to Alkeon Capital Management outlines representations and warranties related to compliance with SEC Rule 506 of Regulation D. It addresses amendments to the rule and ensures that neither Deutsche Asset & Wealth Management nor its agents are subject to any disqualifying events that would jeopardize the Funds' exemption from registration.
Metadata
- Subject
- Amendments to Rule 506 of Regulation D under the Securities Act of 1933
- Sender
- Deutsche Asset & Wealth Management
- Recipients
- Alkeon Capital Management, LLC
- Document ID
- DB-SDNY-0087649
- Date
- 2013-09-23
Relationships 3
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Deutsche Asset & Wealth Management | business | Alkeon Growth PW Partners LP | Deutsche Asset & Wealth Management provides representations and warranties to Alkeon Growth PW Partners LP regarding compliance with Rule 506 of Regulation D. |
| Deutsche Asset & Wealth Management | business | Alkeon Growth Offshore Fund Ltd | Deutsche Asset & Wealth Management provides representations and warranties to Alkeon Growth Offshore Fund Ltd regarding compliance with Rule 506 of Regulation D. |
| Deutsche Asset & Wealth Management | business | ACAP Strategic Fund | Deutsche Asset & Wealth Management provides representations and warranties to ACAP Strategic Fund regarding compliance with Rule 506 of Regulation D. |
Notable Quotes 1
Deutsche Asset & Wealth Management hereby represents and warrants to the Funds that neither it nor to its reasonable knowledge any Agent Covered Person' is subject to a Disqualifying Event2 that would result in a Fund being disqualified from relying on the exemption from registration provided by Rule 506 of Regulation D of the Securities Act ("Rule 506") in connection with the offering or sale of interests in the Fund (the "Qffetgin").
Legal Compliance
- Compliance with Rule 506 of Regulation D of the Securities Act.
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealingsCompliance issues
People 1
Organizations 12
AGP LPAlpha Group CapitalDeutsche Asset & Wealth ManagementDeutsche Bank Securities Inc.DBSIDeutsche Bank Trust Company AmericasDBTCAAlkeon Capital Management, LLCAlkeon Growth PW Partners LPAlkeon Growth Offshore Fund LtdACAP Strategic FundSecurities and Exchange Commission
Locations 4
New YorkNew York, New York60 Wall Street350 Madison Avenue
Financial Entities 2
Deutsche Bank Securities Inc.Deutsche Bank Trust Company Americas
Text Analysis
- Tone
- Professional
- Purpose
- To document certain representations and warranties by Deutsche Bank Securities Inc. and Deutsche Bank Trust Company Americas to Alkeon Growth PW Partners LP, Alkeon Growth Offshore Fund Ltd and ACAP Strategic Fund in recognition of new requirements imposed by the Amendments to Rule 506 of Regulation D.
- Significance
- This document outlines the responsibilities of Deutsche Asset & Wealth Management in ensuring compliance with SEC regulations regarding the offering and sale of interests in the Funds.
File Info
- File Name
- EFTA01386102.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:48.919176
- DOJ Source
- View on DOJ