Investment Management and Private Funds -

Summer enforcement action review; raising money in a pandemic

Troutman Pepper partner Gregory J. Nowak hosted a candid review of the investment management space after the summer of 2020.

Topics covered:

• recent enforcement actions by the SEC – crypto and MCAs

• CFTC compliance manual release and enforcement priorities

• expenses and disclosure issues

• raising capital in a pandemic – is 506(c) finally living up to its promise?

Recording link: https://zoom.us/rec/share/qeyV-cnZjPmOvPGtiic0wgkiyu2Ky9UWC66f5vrvb3kPgNzIGrgKoWq_0u_ZtqvN.hyV6eVq6YeM8QgL6?startTime=1601495973000