SEC Charges PE Adviser for Disproportionate Expense Allocations to Fund
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June 20, 2022
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Regulatory Game Changers on the Horizon
The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.
May 31, 2022
SEC Charges Adviser and Portfolio Managers with Fraud in Connection with Complex Options Strategy
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May 25, 2022
Adviser, Principal Fined for Misrepresentations and Compliance Issues
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January 04, 2022
The SEC has fined an Ohio-based dual-registrant for violating the Custody Rule because the firm did not provide investors in two private funds that it advised with audited financial statements...
September 22, 2021
Adviser Fined for Conflicts Disclosure and Custody Issues Related to Private Fund Investments
The SEC has fined a Connecticut-based investment adviser and its principal for inadequate disclosure of conflicts of interest related to investments of a private fund client and for violations of...
September 22, 2021
UK-based Adviser Pays $170 Million in Connection with Transfer of Traders to Proprietary Fund
UK-based Adviser Pays $170 Million in Connection with Transfer of Traders to Proprietary Fund December 21, 2020 The SEC has fined a UK-based investment adviser in connection with the...
December 21, 2020
Virginia Adviser Pays Over $1 Million for Failing to Reduce Fees as a Result of Write Downs
Virginia Adviser Pays Over $1 Million for Failing to Reduce Fees as a Result of Write Downs October 29, 2020 The SEC has fined a private equity fund adviser...
October 29, 2020