Finding A Way.

SEC Actions Confirm Uptick in Private Equity Enforcement Activity

Don’t tell me I didn’t tell you so!  Just one week after I cautioned that the SEC is stepping up scrutiny of private equity funds, the agency...

It’s Back! The SEC Seeking Data on Potential Fiduciary Rule

On March 1, the SEC issued a long-awaited request for data from the public and other interested parties about whether to align the standards of conduct for...

Adviser Compliance for 2013, Part V: Tying up Loose Ends

Over the past several weeks, we have been outlining a compliance “to do list” for advisers. Past posts have focused on issues that impact all advisers, including...

New Study Backs Up SEC’s Focus on Valuation

The SEC has targeted valuation as a serious compliance concern for private equity funds. It was not only listed in the SEC’s 2013 enforcement priorities, but also...

Adviser Compliance for 2013, Part IV: Review Your Code of Ethics

Advisers must be sure that their annual compliance review includes the firm’s code of ethics. Under the Adviser’s Act, all SEC registered advisers are required to adopt...

The SEC Speaks at the New York City Bar March 8

Wayne Carlin, litigation partner at Wachtell, Lipton, Rosen & Katz, chaired a program last Friday at the New York City Bar on hot topics in SEC enforcement....

Class Action Waivers in Arbitration Agreements: Where Do We Stand?

A FINRA arbitration panel recently upheld Charles Schwab & Co.’s arbitration agreement that required customers to waive their rights to file a class-action lawsuit, despite the fact...

Are More Private Equity Enforcement Actions On the Horizon?

The SEC has traditionally targeted private equity funds far less than hedge funds when it comes to enforcement.  That may be about to change. In recent remarks...

The SEC’s 2013 Priorities: What Should Broker-Dealers Be Worried About?

Last week, we talked about the helpful heads-up that the SEC provided to investment advisers and investment companies in its recent release of exam priorities for 2013....

Adviser Compliance for 2013, Part III: Make Sure Your IARD Account Is Funded

Before you submit your annual ADV updating amendment, the Investment Adviser Registration Depository (IARD) requires that a firm have enough funds deposited in its Daily Account to...

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