Private Equity Regulatory Update - October 2018
Client Newsletter

Created date


Industry Update

  • Director of Division of Investment Management Testifies About Division Oversight
  • Co-Director of SEC Enforcement Steven Peikin Gives Remarks on Remedies and Relief in SEC Enforcement Actions


  • Federal District Court Concludes that Virtual Currencies Are Commodities Subject to the CFTC’s Jurisdiction
  • SEC Settles with Voya Financial Advisors, Inc. for Failing to Adopt and Implement Sufficient Policies to Prevent Identity Theft
  • SEC Settles with LendingClub Asset Management for Undisclosed Conflicts of Interest, Return Adjustment, in Connection with Investments in LendingClub Loans