Steven Boehm

Eversheds Sutherland (US) LLP

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Updates on temporary exemptive relief: SEC provides continued relief for BDCs regarding in-person board meetings and co-investment

On January 5, 2021, the Securities and Exchange Commission (the SEC) issued a Public Statement updating the targeted regulatory relief that the SEC previously had granted in an effort to assist market participants, including...more

1/8/2021 / Board Meetings , Business Development Companies , Coronavirus/COVID-19 , Exemptive Relief , Investment Company Act of 1940 , Investment Management , Securities and Exchange Commission (SEC)

SEC fines BDC investment adviser for misallocation of expenses and valuation failures

On December 3, 2018, the Securities and Exchange Commission (the SEC) entered an order (the Order) to settle charges arising out of an enforcement action against Fifth Street Management, LLC (FSM). FSM disclosed in March 2016...more

12/12/2018 / Business Development Companies , Enforcement Actions , Hedge Funds , Investment Adviser , Investment Management , Misallocation of Funds , Non-Public Information , OCIE , Securities and Exchange Commission (SEC) , Valuation

SEC Updates Guidance on Cybersecurity

Emphasizing the critical importance of cybersecurity to registered investment companies (RICs), including insurance separate accounts and business development companies, and to investment advisers, the SEC’s Division of...more

5/3/2015 / Business Development Companies , Cybersecurity , Identity Theft , Investment Adviser , Investment Management , New Guidance , Popular , RICs , Risk Assessment , Securities and Exchange Commission (SEC)

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