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David A. Vaughan

David A. Vaughan

Dechert LLP


Latest Publications

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Upcoming Form PF Filing Deadline: April 30

As you are no doubt aware, the next Form PF filing deadline is nearly upon us. For many of you, this means making a Form PF filing on or before April 30, 2013. ...more

4/23/2013 - Deadlines Form PF

Recent SEC Actions Focus on Broker-Dealer Activity of Private Funds, Highlight Perils, and Generate Controversy

A recent public statement by a member of the senior staff (“Staff”) of the Securities and Exchange Commission (“SEC”) and recent SEC enforcement actions have reminded private equity and other private fund managers (such as...more

4/22/2013 - Broker-Dealer Finders Fund Managers Investment Adviser Marketing Private Funds Ranieri Partners Registration SEC Securities Exchange Act Transaction-Based Compensation

Head of Asset Management Unit at SEC Enforcement Shares Hedge Fund Enforcement Priorities

In a recent speech, Bruce Karpati, Chief of the Asset Management Unit (AMU)within the Division of Enforcement (Division) of the U.S. Securities and Exchange Commission (SEC), discussed his view of the current enforcement...more

12/27/2012 - Asset Management Enforcement Fiduciary Duty Hedge Funds Marketing Pensions Retail Market SEC

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