Searching Content indexed under M&A/Private Equity by Joshua Newville ordered by Published Date Descending.
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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
Veil-Piercing Risks For Private Equity Managers Highlighted In Recent Court Decision
This is particularly true if the first entity is undercapitalized.
United States
23 Sep 2019
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
DC Circuit Opinion Reaffirms Fiduciary And Disclosure Obligations Of Advisers While Rejecting SEC Finding Of "Willful" Violations
The DC Circuit recently released an opinion addressing the SEC's administrative findings against registered investment adviser The Robare Group (TRG)
United States
28 May 2019
Unicorns: The Tale Continues
Potential disputes involving unicorns have been a hot topic for the last several years. We predicted that would continue this year in in our webinar and related blog post ...
United States
8 May 2018
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
SEC Releases FY 2017 Enforcement Results: Maintaining Focus On Individual Accountability And Investment Advisers
Last night, the SEC announced its enforcement results for the Fiscal Year 2017, accompanied by a report from the Co-Directors of its Division of Enforcement.
United States
17 Nov 2017
Pay-To-Play – SEC Expands Scope Of Rule To CABs
The SEC's pay-to-play rule has given advisers reason to worry about potential foot faults since its adoption. As we have noted in prior posts, the rule is filled with landmines and is therefore difficult to navigate.
United States
13 Oct 2017
Veil-Piercing Under California Law – Heightened Risks For Fund Managers
We recently posted about the risks associated with veil-piercing claims and the ways in which fund managers can protect themselves from exposure to these claims.
United States
3 Oct 2017
Veil Piercing/Alter Ego Determinations – How Fund Managers Can Protect Themselves
A veil piercing claim can be a worst-case scenario for a private fund manager dealing with a struggling portfolio company investment – the company fails, and ensuing legal claims are brought not only against the portfolio company, ...
United States
25 Sep 2017
Snap Judgment: Unicorns Under Pressure And Addressing Risks Of Private Lawsuits
The recent IPOs of Snap, Inc. and Blue Apron indicate that while the IPO pipeline continues to flow, there may be a cautionary tale for "unicorns" – venture-backed companies with estimated...
United States
22 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
Reported Criminal Probes Regarding Bond Valuations Highlight The Importance Of Valuation Procedures
According to recent news reports, the DOJ and the SEC are investigating the possible improper use of third-party broker quotes by hedge fund managers to value illiquid debt securities in their portfolios.
United States
1 Jun 2017
SEC Speaks: 2017 Enforcement And Exam Trends For Private Funds
Joseph Sansone, Co-Chief of the Market Abuse Unit, stated that 78 different entities and individuals were charged with insider trading during 2016.
United States
15 Mar 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
SEC Shake-Up: President-Elect Trump Expected To Make Key Appointments
In the wake of the election of Donald Trump as the 45th President of the United States, Mary Jo White has announced her intent to step down from her role as Chair of the Securities and Exchange Commission.
United States
16 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 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
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