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Searching Content by Jason Brown from Ropes & Gray LLP ordered by Published Date Descending.
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Robare V. SEC: The D.C. Circuit "May" Have Punted On Key Disclosure Question, But Takes Clear Stand On "Willful" Conduct
On April 30, 2019, the U.S. Court of Appeals for the D.C. Circuit issued a long-awaited decision in Robare Group, LTD. v. SEC, providing valuable insight for investment ...
United States
29 May 2019
2
SEC Scrutinizes Sale Of Mortgage Interests Among Affiliated Funds
The sale of mortgage assets between investment vehicles managed by the same adviser has come under scrutiny by the Securities and Exchange Commission ("SEC").
United States
15 Apr 2019
3
Ropes & Gray Files Comments On SEC's Proposed Interpretation Of Advisers Act Fiduciary Duty
On August 7, 2018, Ropes & Gray filed a comment letter with the SEC regarding the Commission's April 18, 2018 "Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers".
United States
8 Aug 2018
4
Podcast - Credit Funds: How PE Funds Can Address And Minimize Conflict When Expanding Into Credit
Although larger sponsors have been running PE funds simultaneously alongside credit funds for quite some time, over the last few years there has been a steady increase in the number of private equity firms ...
United States
2 May 2018
5
SEC Brings First Action Against A Private Equity Fund Adviser For Misallocation Of Portfolio Company Expenses
The SEC charged private equity fund adviser Lincolnshire Management, Inc. with breaching its fiduciary duty to two of its private equity funds.
United States
24 Sep 2014
6
Government Enforcement Attorneys Review Regulatory Challenges Facing Companies In Financial Services, Health Care And Government Contracting Industries
On October 2, government enforcement partner Jason Brown and government enforcement associate Aaron Katz published an article titled "Can a corporation be liable for ‘violating’ an ambiguous regulation?" in Inside Counsel magazine.
United States
8 Oct 2013
7
Applicability Of Large Trader Rules To Private Equity Advisers
The U.S. Securities and Exchange Commission (the "SEC") recently adopted Rule 13h-1 (the "Rule") under the Securities Exchange Act of 1934 with respect to large trader registration
United States
30 Sep 2011
8
SEC Adopts Rules To Implement The Private Fund Investment Advisers Registration Act
On June 22, 2011, the Securities and Exchange Commission ("SEC") adopted rules to implement certain provisions under the Private Fund Investment Advisers Registration Act of 2010 (the "Registration Act"), which was signed into law as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act").
United States
28 Jun 2011
9
Special Considerations For Private Fund Advisers Under The Advisers Act
As the investment adviser community is well aware, one of the key provisions of last year’s Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd- Frank Act") is the removal of the so-called private adviser exemption.
United States
6 Jun 2011
10
Application Of The Investment Advisers Act To Private Equity Advisers - Part 2
A registered investment adviser must adopt and implement procedures reasonably designed to ensure that it votes proxies on behalf of its clients in the best interests of its clients.
United States
3 May 2011
11
Application Of The Investment Advisers Act To Private Equity Advisers - Part 1
Under the Investment Advisers Act, as amended by the Dodd-Frank Act, most investment advisers to private equity funds will be required to register with the SEC and comply with the Advisers Act, including many provisions not designed for their business model.
United States
3 May 2011
12
SEC Proposes Reporting Obligations for Advisers to Private Funds on New Form PF
The Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") directed the Securities and Exchange Commission (the "SEC") and the Commodity Futures Trading Commission (the "CFTC") to require investment advisers to private funds to maintain records and file reports containing such information as the SEC and CFTC deem necessary to assist the Financial Stability Oversight Council (the "FSOC") in assessing systemic risks.
United States
9 Feb 2011
13
SEC Proposes Rules to Implement the Private Fund Investment Advisers Registration Act
On November 19, 2010, the Securities and Exchange Commission ("SEC") proposed rules to implement certain provisions under the Private Fund Investment Advisers Registration Act of 2010 (the "Registration Act"), which was signed into law as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank Act").
United States
7 Dec 2010
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