Rules and Regulations

  • SEC Investment Management Division Issues FAQs for Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation

Litigation

  • SEC Settles with Private Equity Adviser for Management Fee Overcharges
  • SEC Settles with Investment Advisers for Alleged Violations of Investment Company Act, Material Omissions in SEC application, and Violations of the Advisers Act Custody Rules

If you have any questions regarding the matters covered in this publication, please reach out to any of the lawyers listed below or your usual Davis Polk contact.

This communication, which we believe may be of interest to our clients and friends of the firm, is for general information only. It is not a full analysis of the matters presented and should not be relied upon as legal advice. This may be considered attorney advertising in some jurisdictions. Please refer to the firm's privacy notice for further details.

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