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Private Funds (74)
Your search for Private Funds returned 74 results.
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9/05/2019 | Content area: Private Fund
The SEC is pursuing fraud charges against two private hedge funds and their founders, who the Commission says bilked stricken former football players ...
7/18/2019 | Content area: Private Fund
Claiming to have enough assets to qualify for SEC registration when an adviser doesn’t lays out a road to trouble.   A new enforcement settlement bars...
7/17/2019 | Content area: Private Fund
Salus never held any RAUM at any time, and had no reasonable expectation of having sufficient RAUM to qualify for registration. It also never advised ...
7/16/2019 | Content area: Private Fund
After the fund administrator discovered the unauthorized withdrawals, Byun, on behalf of Denali Investors, entered into an agreement with the fund adm...
6/28/2019 | Content area: Private Fund
The Commission’s complaint alleged that Chiat defrauded investors in the funds, and violated his fiduciary duty as an adviser to the funds, by making ...
6/07/2019 | Content area: Private Fund
The very first line of the SEC settlement summary pulls no punches, offering words of caution to all private fund advisers. “Valuation of client asset...
6/04/2019 | Content area: Private Fund
For most of the Relevant Period, the RMC consisted of Deer Park’s Chief Compliance Officer, who was a former geochemist and brother-in-law of Portfol...
5/23/2019 | Content area: Private Fund
Poll results are in and the verdict sits squarely down the middle—half of a room chock full of private fund professionals anticipate an increased SEC ...
4/26/2019 | Content area: Private Fund
The complaint alleges that, in reality, there were no private placements. Dougherty was simply running a Ponzi scheme by taking new investor money and...
4/25/2019 | Content area: Private Fund
Many would say only having four to five hours’ worth of telephone calls and performing a few Google searches doesn’t constitute sufficient due diligen...
4/17/2019 | Content area: Private Fund
Respondents defrauded certain SJL advisory clients and at least one investor in SJL’s MarketDNA Hedge Fund LP (“Fund”) by misleading them regarding th...
3/28/2019 | Content area: Private Fund
Three years after Brendan Ross registered his advisory firm, Direct Lending Investments ($866M in AUM) in Glendale, Calif., the 100% owner and CEO abr...
2/28/2019 | Content area: Private Fund
How you set up your investors’ coinvestment opportunities are up to you but, as so often happens under the Advisers Act, be sure you do what you pledg...
2/28/2019 | Content area: Private Fund
It’s likely the duty within a private fund advisory firm to allocate expenses falls to accounting or finance. But this doesn’t mean compliance officer...
1/28/2019 | Content area: Private Fund
The complaint alleges that Meyer promised investors that, in return for giving up substantial portions of their profits, investors in one class would ...
12/20/2018 | Content area: Investment Adviser | Private Fund
As time ticks down to the UK’s break from the EU next March 29, great uncertainty surrounds the issue of Brexit. But if your firm is based in the U.S....
12/06/2018 | Content area: Private Fund
The SEC was crystal clear in its 2018 priorities letter and the pronouncement will likely appear yet again in next year’s iteration: “the proper discl...
9/27/2018 | Content area: Private Fund
Hudson Housing Capital ($3.2B in AUM) in New York had a problem meeting deadlines, and the SEC took notice.   The adviser failed to deliver audited fi...
9/25/2018 | Content area: Private Fund
The custody rule is designed to protect advisory clients from the misuse or misappropriation of their funds and securities. It requires that registere...
9/11/2018 | Content area: Investment Adviser | Private Fund
In response to requests from commenters regarding issues addressed in the proposal, the public comment period has been extended for 30 days until Octo...


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