Private Fund Adviser Charged for Excessive Fees and Conflict Disclosure
SEC charges private fund adviser for miscalculating and not disclosing fees related to permanent impairment criteria.
July 27, 2023
Private Fund Adviser Charged for Excessive Fees and Conflict Disclosure
SEC charges private fund adviser for miscalculating and not disclosing fees related to permanent impairment criteria.
July 27, 2023
SEC Settles Charges Against Audit Firm, Partner for Private Fund Valuation Failures
SEC settles enforcement action with audit firm and partner for valuation failures in audit of private funds.
April 12, 2023
Lessons for Private Fund Managers in Recent SEC Enforcement Actions
This article discusses practical lessons learned from recent SEC enforcement actions against private fund managers involving the calculation of private fund fees.
March 15, 2023
SEC Fines Adviser for Failing to Promptly Repay Money Borrowed from Private Fund
The SEC fined a private fund adviser for not promptly repaying a loan to a fund advised by the adviser.
October 13, 2022
SEC Private Fund Adviser Enforcement Action Focuses on Undisclosed Cost Components of Fees
SEC brings enforcement actions against private fund advisers for charging unauthorized fees.
September 26, 2022
SEC Charges PE Adviser for Disproportionate Expense Allocations to Fund
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June 20, 2022
Regulatory Game Changers on the Horizon
The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.
May 31, 2022
SEC Charges Adviser and Portfolio Managers with Fraud in Connection with Complex Options Strategy
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May 25, 2022
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