Conquering Current Compliance Challenges
Sept. 11, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: August 14, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
PRIVATE FUND LAWS & REGULATORY ACTIONS
8/14/2019 | Content area: Private Fund
SEC Charges Orange County, California Investment Advisers with Fraud Litigation Release No. 24560 / August 14, 2019 Securities and Exchange Commissi...
8/13/2019 | Content area: Private Fund
The net effect of these transactions was that MVP and its personnel were paid, either directly or through the Broker, up-front fees of between eleven ...
7/29/2019 | Content area: Private Fund
SEC Bars Hedge Fund Manager Charged with Asset Mismarking and Insider Trading Litigation Release No. 24548 / July 29, 2019 Securities and Exchange C...
7/18/2019 | Content area: Private Fund
SEC Charges Atlanta Fund Adviser and Its Principal for Fraudulently Overvaluing Assets Litigation Release No. 24539 / July 18, 2019 U. S. Securities...
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 ...
6/24/2019 | Content area: Private Fund
The SEC alleged that Murakami misappropriated investor funds for business and personal expenses and made approximately $1.3 million in Ponzi-like paym...
6/10/2019 | Content area: Private Fund
The Commission’s amended complaint alleged that David Goulding allowed his father to use the Funds’ assets to pay personal expenses which were not sup...
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...
5/14/2019 | Content area: Private Fund
In slide decks used to solicit investment in Canada, in the United States, and elsewhere, NextBlock and Tapscott falsely represented that as many as f...
5/06/2019 | Content area: Private Fund
Corinthian misused the assets in a private equity fund, Corinthian Equity Fund II, LP (“CEF 2”) that it advised to the advantage of Corinthian and thr...
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
In marketing materials and other related documents provided to clients, DBTCA disclosed that it relies on an independent, in-house research group (“Re...
4/23/2019 | Content area: Private Fund
Lyons and various investment adviser entities with the name Synchrony that Lyons controlled engaged in a scheme to misappropriate assets from hedge fu...
4/23/2019 | Content area: Private Fund
in a newsletter emailed to Fund investors on September 8, 2016, Bruce inaccurately stated that he had “spent a great deal of time doing my diligence o...
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...
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 ...
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