Private Funds

Lower standard, burden of proof moves focus upstream

RCW talked to experts about how firms can cut down on their risk of SEC deficiencies or enforcement cases stemming from material, non-public information problems. ...

Study caught regulators' attention year before historic case filed

The benchmark that has underpinned vast numbers of financial instruments globally is coming to an end. But there is a lively debate around what will ...

Kirkland & Ellis has hired its fourth ESG specialist partner this year amid rising demand for ESG legal expertise from private markets clients.

Frontier Wealth's reps failed to reasonably assess whether investments in a complex product were suitable for clients

The heavy guns have been drawn. Days after a former SEC commissioner and others filed lawsuits claiming some SPACs violate the securities laws by not ...

Without adequate policies, procedures, training, and supervision in place at Frontier, certain IARs failed to reasonably assess whether the Feeder Fund was suitable for each ...

This new one asks for the adviser’s “internal definition of any terms that relate to” environmental, social and governance and socially responsible investing

Gensler has tough questions for 'stonks' industry