Jeremy Cantor

Jeremy Cantor

Lowenstein Sandler LLP

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SEC Settlement Highlights Continued Scrutiny of Off-Channel Communications

On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced yet another settlement regarding “off-channel communications.” As we have previously written about, settlements of this type have become...more

4/11/2024  /  Advisors Act , Broker-Dealer , Electronic Communications , Investment Adviser , Policies and Procedures , Recordkeeping Requirements , Registered Investment Advisors , Securities and Exchange Commission (SEC) , Settlement

SEC Settlements Highlight Governing Document Amendment Considerations for Private Funds

Limited partnership agreements and similar documents that govern private funds are often amended over the course of a fund’s life cycle. For example, many funds may be currently going through the amendment process in...more

4/4/2024  /  Conflicts of Interest , Disclosure Requirements , Fund Managers , Informed Consent , Investment Adviser , Investors , Private Funds , Securities and Exchange Commission (SEC) , Settlement

SEC Settlement Reflects Continued Scrutiny Regarding MNPI, Advertisements and Investor Communications

On December 26, 2023, the U.S. Securities and Exchange Commission (SEC) announced a settlement with a registered investment adviser, OEP Capital Advisors, L.P. (OEP). The settlement found that OEP had failed (a) to maintain...more

1/12/2024  /  Compliance , Hedge Funds , Insider Trading , MNPI , Non-Disclosure Agreement , Policies and Procedures , Private Equity , Registered Investment Advisors , Securities and Exchange Commission (SEC) , Settlement
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