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Securities and Exchange Commission (SEC) › Negligence › Private Funds

Snell & Wilmer

Atkins SEC Continues Negligence-Based Enforcement Under Advisers Act Rule 206(4)-8

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In 2007, the Securities and Exchange Commission (SEC of the Commission) adopted Advisers Act Rule 206(4)-8 prohibiting an investment adviser from making false or misleading statements to, or otherwise defrauding or deceiving,...more

Proskauer - The Capital Commitment

Not Off the Hook: The SEC Addresses its Position on Exculpation And Indemnification For Private Fund Advisers

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In its final Private Fund Adviser Rules adopted last year, the SEC dropped one of the more controversial proposed rules—the proposal to prohibit contractual exculpation or indemnification provisions that would shield or...more

Lowenstein Sandler LLP

The SEC’s Private Fund Adviser Rules Explained — Part 3: Deciphering a Private Fund Manager’s Fiduciary Duty

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On August 23, 2023, the Securities and Exchange Commission (SEC) adopted new rules and amendments under the Investment Advisers Act of 1940, as amended (the Advisers Act), that are expected to have a wide-ranging impact on...more

Lowenstein Sandler LLP

The SEC’s Private Fund Adviser Rules Explained — Part 1: The Restricted Activities Rule

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On August 23, 2023, the U.S. Securities and Exchange Commission (SEC) adopted new and amended rules under the Investment Advisers Act of 1940, as amended (the Advisers Act), to address what it perceives as certain conflicts...more

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