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Securities and Exchange Commission (SEC) › Affiliates › Conflicts of Interest

Lowenstein Sandler LLP

The Importance of Complying with Private Fund Documents for Affiliate Transactions

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Private fund advisers continually balance their ongoing responsibility to ensure that the funds they advise comply with such funds’ governing documents and their responsibility to ensure their own compliance with applicable...more

Proskauer - The Capital Commitment

SEC Enforcers Continue to Focus on Undisclosed Fees

Proskauer - The Capital Commitment on

In a series of enforcement cases over the past few months, the SEC has continued to bring actions focused on undisclosed fees charged to clients. Many of these cases have charged firms with fraud and other violations based on...more

Akin Gump Strauss Hauer & Feld LLP

2015-16 Compliance Developments & Calendar for Private Fund Advisers

Akin Gump Strauss Hauer & Feld LLP on

Registered investment advisers (RIAs) are required to review their policies and procedures on at least an annual basis. As an aid to the required review and to assist with timely completion of required compliance tasks, below...more

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