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Searching Content indexed under Fund Management/ REITs by Samuel J. Waldon ordered by Published Date Descending.
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1
Fund Sponsor's Fee Calculation Mistake Leads To SEC Enforcement
A settlement last week involving a private equity fund sponsor is a reminder that compliance with fee calculation provisions and valuation policies and procedures are crucially important for fund
United States
11 Oct 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
Rule 105 Of Regulation M And Tender Offer Rules
Rule 105 of Regulation M may create more anxiety among compliance professionals in the hedge fund industry than any other SEC rule.
United States
25 Jun 2019
4
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
5
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
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