Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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SEC Charges Private Equity Fund Manager With Misleading Investors About Valuation And Performance

The SEC has charged a former portfolio manager at Oppenheimer & Co. with misleading investors about the valuation and performance of a fund consisting of other private equity funds. ...more

8/21/2013 - Dodd-Frank Enforcement Actions Fund Managers Oppenheimer & Co. Private Equity Funds SEC

SEC Considering Changes To Advertising Rules By Hedge Funds And Private Equity

Norm Champ, Director, SEC Division of Investment Management, recently noted that SEC rules prohibit certain advertisements by registered advisers. Mr. Champ noted the SEC has heard from advisers to private funds,...more

3/13/2013 - Advertising Hedge Funds JOBS Act Private Equity Funds SEC

SEC Charges Private Equity Fund Advisers With Misleading Investors About Valuation And Performance

The SEC has charged two investment advisers at Oppenheimer & Co. with misleading investors about the valuation policies and performance of a private equity fund they manage. The SEC recently hinted at potential increased...more

3/12/2013 - Broker-Dealer Investment Adviser Private Equity Funds SEC Valuation

SEC Finding Some Hedge Funds And Private Equity Groups Are Not Complying With Custody Rule

The SEC has issued a Risk Alert on compliance with its custody rule for investment. It notes that with respect to advisers to audited pooled investment vehicles, its examinations found some failed to meet requirements to...more

3/5/2013 - Audits Custody Rule GAAP Hedge Funds Investment Fund Vehicles PCAOB Private Equity Funds SEC

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