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Securities and Exchange Commission (SEC) › Conflicts of Interest › Asset Valuations

Proskauer - The Capital Commitment

End of (Fund) Life Issues

Proskauer - The Capital Commitment on

Amid a challenging environment for exits, especially in the wake of the recent market volatility, private fund managers continue to pursue alternative strategies, such as term extensions and liquidity solutions, to ride out...more

Winstead PC

What Investment Advisers and Fund Managers can Expect from the SEC Under the Biden Administration

Winstead PC on

As we discussed in our recent post “What to Expect from the SEC Under the Biden Administration,” market participants can expect a more vigorous SEC enforcement program under the new administration. President Biden’s nominee...more

Skadden, Arps, Slate, Meagher & Flom LLP

"SEC Announces Enforcement Results for Fiscal Year 2015"

Skadden, Arps, Slate, Meagher & Flom LLP on

The Securities and Exchange Commission (the “SEC”) recently announced its enforcement results for fiscal year 2015. The release touted high-impact and first-of their-kind actions, as well as an increase in the number and...more

McGuireWoods LLP

SEC Enforcement Continues to Pursue Hedge Fund Advisers

McGuireWoods LLP on

The SEC continues to pursue enforcement actions against hedge fund managers for alleged self-dealing, undisclosed conflicts of interest, and valuation issues. As we’ve previously reported (here and here), the SEC has stepped...more

Carlton Fields

Private Equity: The Next Wave of SEC Enforcement Actions?

Carlton Fields on

Ever since the Dodd-Frank Wall Street Reform and Consumer Protection Act required many investment advisers to private equity funds to register with the SEC for the first time, fund managers knew that additional scrutiny might...more

K&L Gates LLP

SEC Issues Risk Alert on Custody Rule, Reinforcing Its Message to Registered Investment Advisers in Its Examination Priorities for...

K&L Gates LLP on

On March 4, 2013, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert identifying “significant deficiencies” by registered investment advisers in compliance with Rule 206(4)-2 under the...more

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