Title

Private Equity Regulatory Update - September 2017
Client Newsletter

Created date

9/29/2017

Industry Update

  • So You Want to Buy a Stake in a Private Equity Manager?
  • SEC Staff Issues Information Update on Compliance with Form ADV Amendments for Other-Than-Annual Amendments
  • OCIE Issues Risk Alert on Common Advertising Rule Compliance Issues Identified in Investment Adviser Examinations

Litigation

  • SEC Charges Chief Compliance Officer for Failure to Verify Accuracy of Securities Filings
  • SEC Charges Adviser for Improper Allocation of Consulting and Other Fees