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Private Equity Conflicts of Interest Investment Advisers Act of 1940

Fox Rothschild LLP

SEC Prepping For A New Round Of Attacks On Fund Advisers

Fox Rothschild LLP on

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) conducted a series of examinations into private fund advisers. See https://www.sec.gov/files/Private%20Fund%20Risk%20Alert_0.pdf. To say the least, OCIE was...more

Ballard Spahr LLP

Investment Management Update

Ballard Spahr LLP on

Investment Adviser AXA Wins Excessive Fee Trial - A federal judge in New Jersey has ruled in favor of AXA Equitable Life Insurance Company (AXA Equitable) and its wholly owned subsidiary, AXA Equitable Funds Management...more

Ballard Spahr LLP

Investment Management Update

Ballard Spahr LLP on

The Securities and Exchange Commission Adopts Amendments to Form ADV and Investment Adviser Act Rules - The Securities and Exchange Commission (SEC) adopted amendments to Form ADV and Investment Advisers Act of 1940...more

Butler Snow LLP

SEC Settles Charges with Private Equity Firm and Four Executives for Failure to Disclose Conflicts of Interest

Butler Snow LLP on

The SEC recently reached a settlement with New York-based private equity firm, Fenway Partners, LLC, and four executives related to charges that Fenway Partners and several of its executives (“Respondents”) failed to disclose...more

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