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Conflicts of Interest › Securities Regulation › Fund Managers

SEC Compliance Consultants, Inc. (SEC³)

Latest SEC Document Request Lists: What Private Fund Managers Should be Worrying About

SEC Compliance Consultants, Inc. (SEC³) on

Many private fund managers are breathing a sigh of relief after the Fifth Circuit struck down the Private Fund Rules (check out our blog post for more information). Do not, however, assume the SEC will stop its aggressive...more

Proskauer - The Capital Commitment

Conflicts of Interest: How High Will the Bar be Raised?

Proskauer - The Capital Commitment on

The SEC last month proposed rules under the Advisers Act indicating a dramatic shift in how the SEC intends to reduce conflicts of interest involving private fund managers and their investors. As we previously noted in the...more

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