Private Equity Regulatory Update - May 2019
Industry Update
- Chairman Jay Clayton Provides Remarks at the “SEC Speaks” Conference
- Commissioner Peirce Speaks at SEC Speaks: SECret Garden
- How We Protect Retail Investors: Director of OCIE Speaks at NRS Spring 2019 Compliance Conference
Litigation
- SEC Settles with Investment Adviser for Material Omissions in Disclosures to Private Banking Clients
- D.C. Circuit: “Willful” Violations Require Evidence of Intentional Conduct
- SEC Settles with Corinthian Capital Group, LLC, its CEO and CFO for Alleged Misuse of Private Equity Fund’s Assets to Benefit Corinthian and Its Principals
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