Private Equity Regulatory Update - July 2018
Client Newsletter

Created date


Rules and Regulations

  • SEC Proposes Whistleblower Rule Amendments

Industry Update

  • SEC Releases Strategic Plan for Fiscal Years 2018-2022


  • SEC Charges New York-based Investment Adviser for Failing to Disclose Conflicts of Interest Related to Compensation Obtained from Third Parties
  • SEC Charges Fund Managers for Failing to Offset Portfolio Company Fees, Disclosures Regarding Accelerated Fees
  • SEC Charges a Financial Institution with Failure to Detect or Prevent Misappropriation of Client Funds