Private Funds

Click here to open an Excel file that is a template displaying the data required to be reported under the EU's Packaged retail investment and insurance ...

Click here to open an Excel file that is the European Working Group's template containing data points that a U.S.-based adviser that has parties in ...

Historically the SEC has announced charges against firms not satisfying rule 105 of Regulation M in big bunches.  This time it’s only the New York-based ...

    Investment Company Act of 1940 – Section 17(d) / Rule 17d-1 October 26, 2017 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...

A New York-based investment adviser reported to his clients last June total assets of at least $21.8 million. Authorities allege the reality was decidedly different. ...

Eichenauer and Sagent failed to disclose Eichenauer’s conflict of interest to SPIF investors in causing SPIF to use the Balanced Fund to lend Sagent money, ...

Staff at C.L. King & Associates, a New York-based broker-dealer, knew that the unidentified hedge fund manager who opened joint accounts with terminally ill persons ...

This matter involves insider trading by Alan M. Stark, a Florida attorney who provided legal services to a prominent hedge fund manager regarding his beneficial ...

Relying on your firm’s employees to self-evaluate and self-report the potential receipt of material non-public information and failing to adopt P&Ps ensuring they do so ...

Altuzarra and Chase also made unauthorized loans from funds they advised or managed to other entities they controlled and subsequently engaged in fraudulent transactions designed ...