James E.B. Bobseine

James E.B. Bobseine

Dechert LLP

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Financial Services Quarterly Report - First Quarter 2016: Lessons for PE Managers from the SEC’s Ongoing Scrutiny of Private...

A large number of private equity managers were required to register for the first time with the U.S. Securities and Exchange Commission (SEC) pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act (Act)....more

3/26/2016 - Conflicts of Interest Disclosure Requirements Dodd-Frank Enforcement Actions Financial Services Industry Fund Managers Investment Advisers Act of 1940 OCIE Private Equity Funds Registration Requirement SEC

Recent Action Highlights SEC’s Continuing Scrutiny of Private Equity Firms

A settled enforcement action announced by the U.S. Securities and Exchange Commission (SEC) on November 3, 2015 is but one in a growing list of SEC settlements concerning the allocation and disclosure of fees and expenses by...more

12/3/2015 - Conflicts of Interest Disclosure Requirements Dodd-Frank Enforcement Actions Private Equity Firms SEC

U.S. Chamber of Commerce Joins Chorus Pushing For Overhaul in SEC Enforcement Practices

A recent report by the Center for Capital Markets Competitiveness at the U.S. Chamber of Commerce (Chamber Report) regarding the enforcement program of the Securities and Exchange Commission (SEC or Commission) identified...more

10/26/2015 - Administrative Proceedings Admissions ALJ Broken Windows Capital Formation Capital Markets Chamber of Commerce Competition Corporate Crimes Corporate Investigations Depositions Discovery Enforcement Actions Forum Selection Injunctions Investor Protection OCIE SEC Wells Notice

2013 Examination Priorities of the U.S. SEC’s Office of Compliance Inspections and Examinations

The Office of Compliance Inspections and Examinations (“OCIE”) of the Securities Exchange Commission (“SEC”) on February 21, 2013 announced its examination priorities for this year. These highlight market-wide issues such as...more

3/14/2013 - Broker-Dealer Clearing Agents Conflicts of Interest Fraud Investment Adviser NEP OCIE SEC Transfer Agents

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