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Anti-Fraud Provisions › Investment Adviser › Compliance

Proskauer - The Capital Commitment

Not Off the Hook: The SEC Addresses its Position on Exculpation And Indemnification For Private Fund Advisers

Proskauer - The Capital Commitment on

In its final Private Fund Adviser Rules adopted last year, the SEC dropped one of the more controversial proposed rules—the proposal to prohibit contractual exculpation or indemnification provisions that would shield or...more

Holland & Knight LLP

Exempt Reporting Advisers and SEC Scrutiny

Holland & Knight LLP on

Exempt reporting advisers (ERA) have become a topic of interest for the U.S. Securities and Exchange Commission's (SEC) Division of Enforcement due in large part to their growing popularity among the investment adviser...more

Proskauer - The Capital Commitment

Five Principles For Accurate and Reliable Portfolio Company Valuations

Proskauer - The Capital Commitment on

We have seen the SEC increase its focus on valuation of privately-held portfolio companies recently. The SEC’s increased focus is in line with our prediction made in the Top Ten Regulatory and Litigation Risks for Private...more

Perkins Coie

As Pandemic Lingers, SEC Has Not Forgotten about Advisers’ Share Class Selection and Compensation Practices

Perkins Coie on

In our October 2019 update, we discussed how the staff of the U.S. Securities and Exchange Commission (SEC) has remained sharply focused in recent years on the conflicts of interest related to investment advisers’ selection...more

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