News & Analysis as of

Discounts Securities and Exchange Commission (SEC)

Opportune LLP

What You Need to Know About Private Equity Valuation Audit Reviews

Opportune LLP on

Private equity fund managers need to develop reliable valuation processes and procedures when conducting fair value analyses in support of their investments to allow for a seamless review by independent auditors....more

Dechert LLP

SEC's Focus on Private Equity Firms Continues with Recent Action

Dechert LLP on

A settled enforcement action, announced by the U.S. Securities and Exchange Commission (SEC) on September 14, 2016, continues the trend of increased SEC scrutiny of private equity advisers concerning the allocation and...more

Stinson - Corporate & Securities Law Blog

SEC Charges Private Equity Advisor with Conflicts for Law Firm Discounts

In a settled enforcement action, the SEC charged a private equity advisor, First Reserve Management, L.P., with conflicts of interest and other matters. First Reserve did not admit or deny the SEC’s findings....more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The Manhattan U.S. Attorney announced the filing of motions to dismiss the insider trading conviction of Michael Steinberg, formerly a portfolio manager at SAC Capitol, and six others in the wake of the Second Circuit’s...more

Goodwin

SEC Settles With Adviser Over Failure to Consider Account Aggregation Requests in Applying Fee Breakpoint Discounts

Goodwin on

The SEC settled administrative proceedings against Transamerica Financial Advisors, Inc. (the “Adviser”) over its failure to grant advisory fee breakpoint discounts to certain advisory clients based on the aggregation of...more

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