The Unibanco Letters - Dual-Hatting Regulations and Global Enforcement

Type of Offering of Securities Public Offering => Required to file a securities registration statement ■ Corporate or trust-type funds - solicit 50 or more investors LP funds - solicit 500 or more investors • Private Placement Corporate or trust-type funds (1) Small number of private placements - solicit less than 50 investors (2) Qualified Institutional Investor (QII) private placements - only solicit QIIS (3) Hybrid - solicit less than 50 investors and an unlimited number of QIIS LP funds - solicit less than 500 investors Morgan Lewis 14

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