Author: Eugenie Warner

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…

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,…

On September 4, 2019, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued another risk…

For private fund advisers, fee and expense reviews are a cornerstone to a sound compliance program. The SEC repeatedly reinforces…

You timely filed your Form ADV within 90 days of fiscal year end, but, did you properly answer all the…

If you wanted more information about the contours of the SEC’s Pay-to-Play Rule, or how the SEC may enforce it,…

Somewhat more reminiscent of the broken-windows enforcement era, two affiliated private equity advisers managing billions settled with the SEC on…