Author: Eugenie Warner

On January 27, 2022, the SEC’s Division of Examinations (the “Division”) published a second risk alert for private fund advisers…

In a recent settlement order, the SEC reminded the investment advisory community that the SEC remains vigilant in enforcing the…

In case you have not heard the news, Chair Gensler is focused on private fund advisers. The numbers may give…

Of course, if you are reading this blog post, you likely are not the type of person to sell or…

On August 26, 2020, the Securities and Exchange Commission amended Rule 501(a) of the Securities Act of 1933, expanding the…

The Office of Compliance Inspections and Examinations (“OCIE”) released its expected Private Fund Risk Alert to highlight compliance issues observed in examinations of private equity and hedge fund registered investment advisers.

Easy Pickings But Maybe Also Warnings of Valuation Expectations Even With COVID-19 Difficulties   Now that we are nearly into…

Recently, the SEC settled with a private equity adviser for failing to adequately disclose and obtain consent for conflicts of…

We understand that COVID-19 has brought many stresses, both personal and professional.  To many private fund advisers, this may seem…

The rapid expansion of the novel coronavirus and the COVID-19 pandemic has caused extreme stress if not panic throughout the…

At the recent CSS Fall 2019 Conference, experienced professionals Jeff Blumberg of Faegre Baker Daniels and John Gentile of CSS…

As regulatory concerns proliferate and become more complex, developing and monitoring your “to-do” list becomes of paramount importance.  John Gentile,…