Paulo Marnoto

Paulo Marnoto

K&L Gates LLP

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SEC Faults Private Equity Fund Manager for Acting as an Unregistered Broker and Failing to Comply With Fund Agreements

On June 1, 2016, the Securities and Exchange Commission (“SEC”) brought and settled charges against a private equity fund adviser and its principal owner for engaging in brokerage activity without registering as a...more

6/17/2016 - Broker-Dealer Investment Adviser Private Equity Funds SEC Securities Exchange Act

SEC Issues Risk Alert on Custody Rule, Reinforcing Its Message to Registered Investment Advisers in Its Examination Priorities for...

On March 4, 2013, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert identifying “significant deficiencies” by registered investment advisers in compliance with Rule 206(4)-2 under the...more

3/18/2013 - Asset Valuations Conflicts of Interest Custody Rule Investment Adviser Marketing NEP OCIE Pooled Investment Vehicles Reporting Requirements SEC

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