Category Archives: Insights
SEC Fines Private Fund Manager $1 Million for Conflicts Disclosure and Redemption Failures – May 21, 2024
On May 14, 2024, the SEC fined a New York-based private fund manager and its [...]
SEC Adopts Incident Response Planning Rule Under Regulation S-P – May 16, 2024
On April 17, 2024, the SEC’s Division of Examinations (“EXAMS”) issued a Risk Alert which [...]
General Solicitation Under Regulation D – Recent Trends and Enforcement Activity – May 9, 2024
Over the past few years, we have seen a slow-but-steady uptick in 506(c) general solicitation [...]
SEC Issues Risk Alert on Marketing Rule Compliance – April 24, 2024
On April 17, 2024, the SEC’s Division of Examinations (“EXAMS”) issued a Risk Alert which [...]
SEC Fines Private Equity Fund Manager for Technical Violations of the Pay-to-Play Rule – April 19, 2024
On April 15, 2024, perhaps as a warning to investment advisers and their respective employees [...]
The SEC Moves in on the DeFi Space with a Wells Notice for Uniswap – April 17, 2024
On April 10, the CEO of Uniswap Labs, one of the largest decentralized cryptocurrency exchanges, [...]
SEC Fines Five RIAs for Marketing Rule Violations – April 15, 2024
On April 12, 2024, the SEC fined five registered investment advisers for advertising hypothetical performance [...]
SEC Expands Insider Trading Scope by Prevailing in “Shadow Trading” Case – April 9, 2024
On April 5, 2024, a jury in federal court in California found a pharmaceutical executive [...]
SEC Fines Hedge Fund Manager $6.5 Million for Electronic Communications Violations – April 4, 2024
On April 3, 2024, the SEC took a notable enforcement action against Senvest Management, LLC, [...]
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