On April 5, 2013, David W. Blass, Chief Counsel of the Securities and Exchange Commission’s Division of Trading and Markets, addressed the American Bar Association’s Trading and Markets Subcommittee.1 Mr. Blass’ remarks...more
4/23/2013 - Broker-Dealer Fund Managers Investment Adviser Ranieri Partners Registration SEC
Below is a summary of certain recent guidance from the Securities and Exchange Commission (the “SEC”) that is applicable to investment advisers and broker-dealers, namely: (i) an SEC Risk Alert regarding the Custody Rule...more
4/3/2013 - Broker-Dealer Custody Rule Dodd-Frank Investment Adviser NEP SEC
On January 23, 2013, Bruce Karpati, Chief of the Asset Management Unit (the “AMU”) of the Enforcement Division of the Securities and Exchange Commission, addressed the Private Equity International Conference in New York. Mr....more
2/7/2013 - Asset Management Bruce Karpati CCO CFOs Conflicts of Interest COOs Enforcement Misallocation of Funds Private Equity SEC Segregated Portfolio Companies Transparency
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