Tag Archives: SEC Enforcement
2022 SEC Enforcement Results – Takeaways for Fund Managers
Keeping Up With Kim Kardashian’s SEC Charges
SEC Reopens Comment Period for Proposed Private Fund Adviser Rules
SEC to Hire More Staff in Crypto Assets and Cyber Unit and Ratchet Up Scrutiny of Industry
SEC Proposes Extensive New Rules Applicable to SPACs and de-SPAC Transactions
Insider Trading, MNPI and Related Internal Controls: A Renewed Focus by SEC
Top Ten Regulatory and Litigation Risks for Private Funds in 2022
Three Key Considerations for Fund Sponsors when Participating in Bankruptcy Proceedings
Increased Regulatory Scrutiny of Private Funds
SEC Enforcement’s 2020 Annual Report Reflects Shifting Priorities for Fund Managers: Four Key Takeaways
SEC Announces 2020 National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Five Principles For Accurate and Reliable Portfolio Company Valuations
Private Equity Adviser Settles with SEC for Misallocation of Internal Expenses Relating to “Third-Party Tasks”
SEC Cracks Down on Retirement Fund Advisers’ Undisclosed Compensation and Conflicts
SEC Releases Risk Alert Identifying Common Private Equity and Hedge Fund Compliance Deficiencies
Misuse of Private Fund Assets Leads to SEC Enforcement and Industry Bar for Fund Manager
Who Foots the Bill? SEC Cracks Down on Operating Partner Reimbursement Disclosures
SEC Targets Fund Auditor in Latest Battle Over Valuation Practices
When is a Cross Trade a Principal Trade? SEC Brings Enforcement Action Against a Fund Manager That Appears not to Have Understood

House Passes Proposed Legislation Defining Insider Trading

SEC clamps down on Custody Rule
Proskauer Private Investment Funds Group Releases 2019 Annual Review and Outlook
SEC Releases FY 2019 Enforcement Results: Increases in Investment Adviser Actions and Maintained Focus on Individual Accountability
