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

Lowenstein Sandler LLP

The Importance of Complying with Private Fund Documents for Affiliate Transactions

Lowenstein Sandler LLP on

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

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

Proskauer - The Capital Commitment

Messaging Missteps: SEC’s Increasing Focus on Off-Channel Communications

Proskauer - The Capital Commitment on

The SEC’s Enforcement Division is conducting a sweep investigation of large investment advisers regarding their employees’ use of “off-channel” communications. The sweep, which has been widely reported in the press, focuses...more

Proskauer - Corporate Defense and Disputes

SEC Enforcement Director and SDNY/EDNY Officials Address Enforcement Priorities

Proskauer - Corporate Defense and Disputes on

SEC Division of Enforcement Director Gurbir Grewal and several high-ranking officials from the U.S. Attorney’s Offices for the Southern and Eastern Districts of New York and the FBI spoke on November 29, 2022 at a conference...more

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