Searching Content indexed under Compliance 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
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
SEC Staff Issues Risk Alert On The Six Most Frequent Fee And Expense Compliance Issues
On April 12, 2018, the SEC's Office of Compliance Inspections and Examinations issued a risk alert listing the most common compliance issues concerning fees and expenses charged by SEC-registered investment advisers
United States
23 Apr 2018
SEC Staff Announces 2018 OCIE Examination Priorities
Last week the staff of the Office of Compliance Inspections and Examinations (OCIE) of the SEC announced its 2018 examination priorities.
United States
19 Feb 2018
SEC Flags The Top Six Advertising Rule Deficiencies For Investment Advisers
The SEC staff recently published an alert highlighting the most common deficiencies seen in investment advisers' marketing materials.
United States
28 Sep 2017
SEC Chairman Identifies Guiding Principles
On July 12, 2017, newly appointed SEC Chairman Jay Clayton delivered a speech at the non-partisan Economic Club of New York wherein he set forth several high-level guiding principles for the agency.
United States
31 Jul 2017
Valuation Of Illiquid Portfolio Investments – Avoiding Regulatory Risks With Form And Substance
For private fund managers, the valuation of privately-held securities has been subject to heightened regulatory scrutiny.
United States
21 Jun 2017
The Top Ten Regulatory And Litigation Risks For Private Funds In 2017
Private investment funds and advisers are likely to face new regulatory challenges and increased litigation risks in 2017, not only because of a change in the administration...
United States
22 Feb 2017
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
Whistleblower Alert – OCIE To Examine Registered Investment Advisers For Overbroad Confidentiality Or Severance Agreements
The SEC's OCIE recently published a risk alert noting that the SEC exam staff intends to examine registrants' compliance with the Dodd-Frank Act's whistleblower provisions.
United States
4 Nov 2016
OCIE Staff To Examine Registered Advisers' Policies And Agreements For Whistleblower Rule Compliance
On October 24, 2016, OCIE published a risk alert noting that the SEC exam staff intends to examine registrants' compliance with the Dodd-Frank Act's whistleblower provisions.
United States
2 Nov 2016
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
SEC Sues Company And Its GC/CCO For Failure To Disclose And Accrue Charge For A Pending DOJ Investigation
On September 9, 2016, the SEC filed a complaint against RPM International Inc. ("RPM") and the company's General Counsel/CCO.
United States
15 Sep 2016
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
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
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
SEC Enforcement's Increased Focus On Private Equity
On May 12, 2016, SEC Director of Enforcement Andrew Ceresney gave a keynote address on Private Equity Enforcement.
United States
20 May 2016
Theranos, The SEC's Pursuit Of Unicorns, And Taking The Reins Of Internal Controls
In the wake of a host of negative developments, Theranos Inc. is reportedly under investigation by the Department of Justice and the Securities and Exchange Commission.
United States
19 May 2016
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