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David Smyth

David Smyth

Brooks Pierce


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SEC Ramps Up Its Private Equity Parade

Bruce Karpati, chief of the SEC’s Asset Management Unit, promised us several weeks ago that enforcement actions against private equity firms were about to heat up. He wasn’t kidding. Last Monday, the SEC filed two sets of...more

3/21/2013 - Broker-Dealer General Solicitation Private Equity Ranieri Partners Registration SEC

SEC Charges Indian Firms with Acting as Unregistered Broker-Dealers

On November 27th, the SEC charged four Indian financial services firms with acting as unregistered broker-dealers in the United States....more

1/8/2013 - Ambit Capital Private Limited Broker-Dealer Edelweiss Financial Services Enforcement Enforcement Actions JM Financial Institutional Securities Private Limited Motilal Oswal Securities Limited Registration SEC

SEC’s Asset Management Unit Focuses on Compliance Failures, Vol. 2

As we discussed last month, the SEC’s Asset Management Unit has developed a likeness for not just big, headline-grabbing cases, but relatively small compliance-based cases that are designed to prevent minor problems from...more

12/19/2012 - Asset Management Unit Books & Records Compliance Investment Adviser Registration SEC

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