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Private Funds (66)
Your search for Private Funds returned 66 results.
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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...
9/11/2018 | Content area: Private Fund
Respondents immediately halted the offering when contacted by the Commission staff and undertook a review of CAM’s website, marketing materials, and o...
9/06/2018 | Content area: Private Fund
BCM compliance manual stated that employees were required to “avoid establishing financial interests or outside affiliations that may create a conflic...
7/16/2018 | Content area: Private Fund
This matter concerns disclosure violations arising from an undocumented and undisclosed $3 million dollar loan from Norman M.K. Louie (“Louie”), who a...
7/12/2018 | Content area: Investment Adviser | Private Fund
The world’s a tiny place when it comes to financial services. Private fund managers are reaching out to new places, attracting new investors. But when...
6/08/2018 | Content area: Private Fund
Not disclosing a side letter agreement with two affiliated outside asset managers entitling a New York-based investment adviser to quarterly payments ...
6/04/2018 | Content area: Private Fund
This matter concerns a failure to disclose conflicts of interest by Lyxor Asset Management, Inc. (“Lyxor”), an investment adviser, to certain of its c...
6/01/2018 | Content area: Private Fund
Six weeks ago, PF Watch predicted a number of advisers would soon settle their SEC enforcement cases for not filing Form PF (PF Watch, April 19, 2018)...
4/19/2018 | Content area: Private Fund
Eric Erb admits he was “tormented with shame and grief,” which drove him last year to direct his lawyer to confess his crime to authorities. This mont...


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