Title

Private Equity Regulatory Update - March 2019
Client Newsletter

Created date

3/29/2019

Rules and Regulations

  • SEC Seeks Public Comment on Issues Posed by Non-DVP Settlement and Digital Assets under the Custody Rule

Litigation

  • SEC Settles Enforcement Action Against Investment Advisory and Broker-Dealer Firm for Conflict of Interest Violations
  • SEC Settles with Talimco, LLC for Breaching Fiduciary Duties in Standing on Both Sides of a Mortgage Loan Participation Transaction