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Fund Managers › Investigations › Securities and Exchange Commission (SEC)

Skadden, Arps, Slate, Meagher & Flom LLP

How Private Fund Managers Can Minimize the Risk of Government Probes in Volatile Markets

Skadden, Arps, Slate, Meagher & Flom LLP on

Key Points - - Periods of market volatility expose firms managing private funds to increased scrutiny from government agencies, regardless of the existence of any actual misconduct. - Government agencies may open an...more

Akin Gump Strauss Hauer & Feld LLP

SEC Announces First Off-Channel Communications Enforcement Action Against a Standalone Private Fund Manager

Akin Gump Strauss Hauer & Feld LLP on

On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced its first enforcement action against a registered investment adviser (RIA) with no ties to a broker-dealer regarding so-called “off-channel”...more

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