Title

Private Equity Regulatory Update - December 2018
Client Newsletter

Created date

12/21/2018

Industry Update

  • Remarks from Commissioner Peirce before the Crypto Valley Summit

  • SEC Chairman, Commissioners Deliver Remarks at Proxy Process Roundtable

  • SEC Public Statement on Digital Asset Securities Issuance and Trading

  • OCIE Issues Risk Alert regarding Investment Adviser Examinations Relating to Electronic Messaging

Litigation

  • CFTC Obtains Consent Order, Default Judgment Against Principals of Fictitious “Algorithmic Hedge Fund”

  • SEC Settles with Former Investment Adviser for Failing to Adopt and Implement Reasonably Designed Policies and Procedures Regarding Advisory Fees