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Disclosure Requirements Settlement Investment Management

Seward & Kissel LLP

SEC Settles Charges with Adviser for Failing to Disclose Conflicts of Interest

Seward & Kissel LLP on

Who may be interested: Investment Advisers; Registered Investment Companies; Boards of Directors - Quick Take: The SEC recently settled charges with an investment adviser relating to the adviser’s failure to disclose...more

King & Spalding

SEC Steps Up Scrutiny On Private Fund Fee Allocation Practices

King & Spalding on

In two recent cases, the Securities and Exchange Commission (the SEC) has made clear that it has increased its focus on private funds and their allocation of fees and expenses. In the most recent, the SEC entered an order on...more

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