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Searching Content indexed under Finance and Banking by Joshua Newville ordered by Published Date Descending.
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Proposed Senate Bill Would Significantly Impact Certain Private Funds And Their Affiliates
Recently, a group of Congress members introduced into Congress Senate Bill 2155 named the Stop Wall Street Looting Act of 2019. Although unlikely to be enacted into law as drafted
United States
6 Sep 2019
2
SEC Fines Fund Manager $5 Million Over Undervaluation Of Assets
A recent action where the SEC focused on the presumably conservative undervaluation of assets suggests that it is more than willing to use valuation as a hook to deter "smoothing" of returns
United States
9 Jul 2019
3
The Top Ten Regulatory And Litigation Risks For Private Funds In 2019
An increasingly sophisticated and active OCIE division, innovative market disruptors, a maturing credit cycle, and a philosophical change in how the private fund industry views and utilizes litigation are likely to lead to increased regulatory scrutiny and litigation risk for advisers (and their funds) in 2019.
United States
28 Feb 2019
4
Valuation Of Illiquid Securities As A Focus Of Recent Enforcement Actions
However, the SEC took issue with two categories of adjustments made by LCA to the model.
United States
29 Nov 2018
5
WSJ Article On Geolocation Data Highlights Risks For Fund Managers
Last week the WSJ published an article detailing how companies are monetizing smartphone location data by selling it to hedge fund clients.
United States
13 Nov 2018
6
Bharara Task Force On Insider Trading
Former SDNY U.S. Attorney Preet Bharara and SEC Commissioner Jackson recently announced, via NY Times op-ed, the creation of the Bharara Task Force on Insider Trading.
United States
16 Oct 2018
7
The Top Ten Regulatory And Litigation Risks For Private Funds In 2018
With the public equity markets at an all-time high and private equity fund raising setting new records, it might seem counterintuitive to forecast litigation and regulatory risks.
United States
12 Feb 2018
8
Best Practices For Fund Managers To Mitigate Big Data And Web Scraping Risks
Proskauer partners Jeff Neuburger, Robert Leonard, Josh Newville and Jonathan Richman recently invited hedge fund executives to discuss the complex regulatory and compliance issues...
United States
25 Jul 2017
9
Outgoing SEC Chair Reflects On The Agency's Enforcement Program And Advocates For Increased Authority
On November 18, 2016, outgoing SEC Chair Mary Jo White delivered a speech at New York University School of Law entitled "A New Model for SEC Enforcement: Producing Bold and Unrelenting Results."
United States
2 Dec 2016
10
OCIE By The Numbers And The Use Of Big Data
According to Wyatt, that program has now been expanded to all regions, with the goal of examining all new registrants.
United States
27 Oct 2016
11
SEC Adopts Changes To Form ADV Affecting Advisers To Private Investment Funds
Several of the amendments will affect how investment advisers to private investment funds file initial and annual updating amendment reports with the SEC on Form ADV.
United States
1 Sep 2016
12
Putting A Premium On Illiquidity: Some Reflections On The SEC's Scrutiny Of Valuation Practices And Disclosures
We expect that trend to continue and, if anything, the focus on valuation is likely to increase, especially as the market for unicorns shakes out.
United States
22 Aug 2016
13
SEC Whistleblower Enforcement Settlement Reminds Private Fund Sponsors To Review Organizational Policies And Procedures For Compliance With Governmental Whistleblower Programs
A recent SEC settlement of whistleblower charges should serve as a useful reminder for private fund sponsors to conduct a comprehensive review of their policies and procedures.
United States
15 Aug 2016
14
Whistleblower Concerns for Private Fund Advisers – Seven Mistakes To Avoid
As we have previously observed, private fund advisers face a difficult challenge when SEC guidance (in the form of a speech or a public enforcement order) indicates that certain long-standing practices may be contrary to the securities laws.
United States
28 Jun 2016
15
SEC Announces Settlement With Adviser Found To Have Acted As An Unregistered Broker And Engaged In Conflicted Transactions
On June 1, 2016, the SEC announced a settlement with Blackstreet Capital Management, LLC and Murry N. Gunty, Blackstreet's managing member and principal owner.
United States
8 Jun 2016
16
SEC Increases Focus On Private Equity Enforcement
Yesterday, SEC Director of Enforcement Andrew Ceresney gave a keynote address on Private Equity Enforcement.
United States
16 May 2016
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