RECENT SEC ENFORCEMENT ACTIONS -
FEES AND EXPENSE ALLOCATIONS -
ECP Manager (Sept. 27, 2019) Administrative Proceeding File No. 3-19535 -
- A PE adviser settled claims which alleged that it caused its fund to overpay...more
Originally published in The Investment Lawyer, Volume 23, Number 9, pages 19–27, September 2016.
On May 10, 2016, the Republic of India and the Republic of Mauritius entered into a protocol (the ...more
As a result of recent changes to federal privacy laws, financial institutions—such as registered investment advisers, exempt reporting advisers, commodity trading advisers, registered broker-dealers and private funds—may no...more
The Internal Revenue Service has issued Revenue Ruling 2014-18 (the “Ruling”) to clarify that stock options and stock-settled stock appreciation rights (“SARs”), properly designed, can be used as a form of compensation to...more
On July 10, 2013, the Securities and Exchange Commission (“SEC”) adopted final rules to eliminate the prohibition against general solicitation and general advertising in certain securities offerings under Rule 506 of...more