James Deeken

James Deeken

Akin Gump Strauss Hauer & Feld LLP

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Cross Trades and Principal Transactions – Recent SEC Guidance Relevant for CLO Managers

Our Investment Management Alert from earlier this month described to private fund advisers the importance of the Security Exchange Commission’s (SEC’s) Division of Examinations recent Risk Alert on cross trades and principal...more

8/13/2021  /  Collateralized Loan Obligations , Compliance , Fiduciary Duty , Fixed Income Investments , Investment Adviser , Investment Advisers Act of 1940 , Investment Management , Policies and Procedures , Risk Alert , Securities and Exchange Commission (SEC)

Cross Trades and Principal Transactions – New SEC Guidance for Private Fund Managers

On July 21, 2021, the Securities and Exchange Commission’s Division of Examinations issued a Risk Alert on cross trades and principal transactions.1 The Risk Alert’s guidance and warnings were based on over 20 examinations of...more

8/3/2021  /  Broker-Dealer , Disclosure Requirements , Investment Adviser , Investment Companies , Risk Alert , SEC Examination Priorities , Securities and Exchange Commission (SEC)
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