Category Archives: Compliance
SEC Censures Private Fund Manager for Misleading Performance Marketing
On June 14, 2024, the SEC charged a relatively small SEC-registered private fund adviser, Twenty [...]
SEC Fines Private Fund Manager Over $2 Million for Misleading Disclosures Regarding Work With Activist Short Publishers
On June 11, 2024, the SEC announced fines of over $2 million and related charges [...]
U.S. Court of Appeals Vacates Private Fund Rule – June 05, 2024
On June 5, 2024, the United States Court of Appeals for the Fifth Circuit vacated [...]
The Interplay of “Proactive Compliance” and the SEC: Take AI, for Example
Historically, the dialogue surrounding compliance among SEC regulated investment advisers has heavily focused on fostering [...]
SEC Fines Private Fund Manager $1 Million for Conflicts Disclosure and Redemption Failures – May 21, 2024
On May 14, 2024, the SEC fined a New York-based private fund manager and its [...]
SEC Adopts Incident Response Planning Rule Under Regulation S-P – May 16, 2024
On April 17, 2024, the SEC’s Division of Examinations (“EXAMS”) issued a Risk Alert which [...]
General Solicitation Under Regulation D – Recent Trends and Enforcement Activity – May 9, 2024
Over the past few years, we have seen a slow-but-steady uptick in 506(c) general solicitation [...]
SEC Issues Risk Alert on Marketing Rule Compliance – April 24, 2024
On April 17, 2024, the SEC’s Division of Examinations (“EXAMS”) issued a Risk Alert which [...]
SEC Fines Five RIAs for Marketing Rule Violations – April 15, 2024
On April 12, 2024, the SEC fined five registered investment advisers for advertising hypothetical performance [...]
SEC Expands Insider Trading Scope by Prevailing in “Shadow Trading” Case – April 9, 2024
On April 5, 2024, a jury in federal court in California found a pharmaceutical executive [...]
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