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Private Equity (209)
Your search for Private Equity returned 209 results.
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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...
2/01/2019 | Content area: Private Fund
The complaint alleges that Scherr knew or should have known that Burns intended to and did sell the overvalued assets to the clients of his affiliated...
1/24/2019 | Content area: Private Fund
Look at it as a friendly divorce that welcomes into the marriage a new spouse.   Most limited partnership agreements offered by private equity fund ad...
1/10/2019 | Content area: Investment Adviser | Private Fund
In what may be the last SEC no-action letter released for some time due to the government shutdown, the Division of Investment Management last month g...
1/02/2019 | Content area: Private Fund
An old car product advertisement used to sell its product by stating “pay me now, or pay me later.”   This adage could apply to Lightyear Capital ($2....
12/26/2018 | Content area: Private Fund
In the absence of such disclosure, Lightyear should have either allocated the proportional share of such expenses to the co-investors or borne those c...
12/26/2018 | Content area: Private Fund
The Commission’s complaint alleged that, from March 2013 to February 2014, Burns, through SLM, acquired insurance companies and thereby obtained the a...
12/26/2018 | Content area: Broker-Dealer | Private Fund
The OCC, Board, FDIC, SEC, and CFTC (individually, an Agency, and collectively, the Agencies) are inviting comment on a proposal to amend the regulati...
12/17/2018 | Content area: Private Fund
Despite the fact that some BSP employees spent a percentage of their time on tasks not related to the BSP, NBAA, acting negligently, did not adjust th...
12/13/2018 | Content area: Private Fund
This matter arises from Yucaipa’s negligent failure to disclose several financial conflicts of interest to the funds, as well as Yucaipa’s misallocati...
10/23/2018 | Content area: Private Fund
Burns, the majority owner and control person of Southport Lane Management, LLC, acquired insurance companies and thereby obtained the ability to contr...
9/13/2018 | Content area: Private Fund
Jeffrey Stevenson has run his own private equity firm, VSS Fund Management ($766M in AUM), from New York since 1982. The SEC says he put his interests...
9/07/2018 | Content area: Private Fund
VSS and Stevenson received preliminary information indicating the Fund III NAV had potentially increased significantly during the first quarter of 201...
7/19/2018 | Content area: Private Fund
Devlin, then a managing partner and the Chief Compliance Officer (“CCO”) of a private equity adviser (“Adviser”), arranged for an Adviser-managed fund...
7/05/2018 | Content area: Private Fund
It is an oft-repeated refrain at industry conferences and in regulators’ speeches: fees and expenses of private equity fund advisers are a definite fo...
6/29/2018 | Content area: Private Fund
This matter arises from inadequate disclosures by private equity fund adviser THL regarding THL’s potential future receipt of lump sum fees from the p...
5/31/2018 | Content area: Private Fund
OCIE’s interest in performance advertising reaches into its exams of private equity fund advisers, too.   For instance, you don’t want to say that you...
4/26/2018 | Content area: Private Fund
A clear message went to private equity fund advisers this week: Keep your organizational docs current and be sure to inform your LPs of your revenue-s...
4/24/2018 | Content area: Private Fund
This matter concerns an investment adviser’s disclosure failure regarding conflicts of interest between the adviser and its private equity fund client...


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