News & Analysis as of

Private Equity Funds Strategic Enforcement Plan

Pillsbury Winthrop Shaw Pittman LLP

Private Funds Litigation/Regulatory Year in Review and 2019 Outlook

Although the SEC did not bring as many headline enforcement actions against private funds as in years past, it continues to devote substantial resources and attention on investment advisers. The SEC will maintain its...more

Akin Gump Strauss Hauer & Feld LLP

SEC Targets Broker-Dealer Implications of Transaction-Based Deal Fees

The Securities and Exchange Commission (SEC) brought and settled an enforcement action against Blackstreet Capital Management, LLC, a registered investment adviser to private equity funds, and its principal for, among other...more

Stinson - Corporate & Securities Law Blog

SEC Identifies Enforcement Priorities for Hedge Funds and Private Equity Funds

Julie M. Riewe, Co-Chief, Asset Management Unit, SEC Division of Enforcement identified enforcement priorities for hedge funds and private equity funds. For private funds — meaning hedge funds and private equity funds...more

Latham & Watkins LLP

Private Equity Fund Managers: Takeaways From The SEC’s Past Year in Enforcement

Latham & Watkins LLP on

After a year of “first ever” actions targeting private equity, fund managers should be vigilant, even about seemingly small issues. In reviewing the results of SEC Enforcement’s fiscal year that ended on September 30,...more

Proskauer Rose LLP

2014 Proskauer Hedge Funds and Other Private Funds Annual Review

Proskauer Rose LLP on

This year we saw a flurry of regulatory activity targeting investment advisers and hedge funds, private equity funds and other private funds (collectively, private funds). The following annual review is a summary of some of...more

Carlton Fields

Early Preview of 2015 SEC Exam Priorities

Carlton Fields on

The SEC continues to set its sights on certain types of funds that it believes may present a higher risk of conflict of interest and confusion in the way they are designed and marketed. After signaling earlier this year that...more

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