News & Analysis as of

Management Fees Office of Compliance Inspections and Examinations Securities and Exchange Commission (SEC)

Eversheds Sutherland (US) LLP

SEC’s share class selection disclosure initiative: what’s next

On February 12, 2018, the Division of Enforcement of the US Securities and Exchange Commission (SEC) announced the Share Class Selection Disclosure Initiative (Initiative) to encourage SEC registered investment advisers...more

Dorsey & Whitney LLP

SEC Charges Adviser With Fraud Tied to “Death Puts”

Dorsey & Whitney LLP on

The Commission’s enforcement division and inspectors at OCIE continue to work closely and have developed a series of cases in recent months. One of the more unusual proceeding spawned through this relationship is the action...more

Stinson - Corporate & Securities Law Blog

A Developing Trend: Heightened Scrutiny of Private Equity Fund Advisers

The Securities and Exchange Commission has recently increased its efforts in examining private equity fund advisers and the fees and expenses such advisers charge to portfolio companies on top of customary management fees....more

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