Investment Management and Private Funds Roundtable

Troutman Pepper

Investment Management and Private Funds -

Summer enforcement action review; raising money in a pandemic

Troutman Pepper partner Gregory J. Nowak hosted a candid review of the investment management space after the summer of 2020.

Topics covered:

• recent enforcement actions by the SEC – crypto and MCAs

• CFTC compliance manual release and enforcement priorities

• expenses and disclosure issues

• raising capital in a pandemic – is 506(c) finally living up to its promise?

Recording link:

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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