SEC Actions Confirm Uptick in Private Equity Enforcement Activity

Don’t tell me I didn’t tell you so!  Just one week after…

Read More

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

On March 1, the SEC issued a long-awaited request for data from…

Read More

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

Over the past several weeks, we have been outlining a compliance “to…

Read More

New Study Backs Up SEC’s Focus on Valuation

The SEC has targeted valuation as a serious compliance concern for private…

Read More

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

Advisers must be sure that their annual compliance review includes the firm’s…

Read More

The SEC Speaks at the New York City Bar March 8

Wayne Carlin, litigation partner at Wachtell, Lipton, Rosen & Katz, chaired a…

Read More

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

A FINRA arbitration panel recently upheld Charles Schwab & Co.’s arbitration agreement…

Read More

Are More Private Equity Enforcement Actions On the Horizon?

The SEC has traditionally targeted private equity funds far less than hedge…

Read More

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…

Read More

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…

Read More