Conquering Current Compliance Challenges
May 15, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: April 10, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
4/18/2019 | Content area: Private Fund
If Matthew Rossi’s hedge fund venture were a star it would have streaked across the sky in a moment of awe – before crashing ingloriously.   The 50-ye...
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...
4/11/2019 | Content area: Private Fund
The SEC alleges that Naqvi and his firm raised money for the Abraaj Growth Markets Health Fund ("Health Fund"), collecting more than $100 million over...
4/04/2019 | Content area: Private Fund
Match your skill set against the ideal qualities of an effective CCO. Begin with knowing the Advisers Act, being empowered to enforce your firm’s comp...
4/01/2019 | Content area: Investment Adviser | Private Fund
This is a recent exam letter received by an investment adviser that features private funds.
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...
3/28/2019 | Content area: Private Fund
Gibb also falsely reported fictitious amounts of assets under management in Forms ADV filed with the Commission, and falsely claimed Income Flood had ...
3/25/2019 | Content area: Private Fund
Direct Lending advises a combination of private funds that invest in various lending platforms, including QuarterSpot, Inc., an online small business ...
3/22/2019 | Content area: Private Fund
the settling defendants consented to the entry of final judgments permanently enjoining them from future violations of various provisions of the feder...
3/21/2019 | Content area: Private Fund
As the investment adviser to both the seller and buyer of a commercial real estate asset, Tamlico had a clear conflict. When the New York-based firm a...
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...
2/21/2019 | Content area: Private Fund
One takeaway from those 13 advisers that settled with the SEC for failing for years to file Form PFs is to be careful in choosing your compliance cons...
2/14/2019 | Content area: Private Fund
It took awhile but the federal agencies united in the Volcker rule finally have published their proposed changes. The Feb. 8th Federal Register reveal...
2/05/2019 | Content area: Broker-Dealer | Private Fund
Respondent caused false and misleading representations and omissions to be made to current and prospective investors of a New York-based hedge fund (t...
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...
1/28/2019 | 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 ...
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....
© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US