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Searching Content indexed under Financial Services by Joshua Newville 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
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
3
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
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
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
6
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
7
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
8
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
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