IA Compliance: The Full 360° View East 
March 7-8, 2019 | Washington, D.C.

UPCOMING WEBINARS

Conquering Current Compliance Challenges
Feb. 13, 2019 | 2:00 - 2:30 PM EST

Strategies to Make this Year’s Form ADV Update a Breeze
Feb. 19, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: January 16, 2019 
  Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

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

 
PRIVATE FUND NEWS & GUIDANCE
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....
12/20/2018 | Content area: Investment Adviser | Private Fund
There may be 12 days of Christmas but you can count six regulations – four final rules and two proposals – newly gifted from SEC commissioners. Only o...
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...
11/29/2018 | Content area: Investment Adviser | Private Fund
Steven Zoernack’s first conviction for a financial crime came in 1999. His second followed eight years later when he pleaded guilty to ripping off inv...
11/01/2018 | Content area: Investment Adviser | Private Fund
Within days of an SEC action against Yorkville Advisors in 2012, the defendants filed a furious response, calling the claim of fraud “baseless,” “an e...
10/25/2018 | Content area: Private Fund
Hedge fund advisers wouldn’t necessarily expect to find disclosure lessons in an SEC enforcement case that touches on the 1983 Beirut bombing that kil...
10/25/2018 | Content area: Private Fund
When Michael Rothenberg discovered the SEC was investigating his Rothenberg Ventures advisory firm, he e-mailed investors to disclose that he had used...
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...
9/13/2018 | 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...
9/13/2018 | Content area: Private Fund
A La Jolla, Calif.-based hedge fund manager touted a fund it offered as the “first regulated crypto asset fund in the United States.” Turns out that w...
7/19/2018 | Content area: Private Fund
New Silk Route Advisors ($1.1B in AUM) in New York runs two Cayman Islands-based private equity funds that invest in India but its regulator resides i...
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...
7/12/2018 | Content area: Investment Adviser | Private Fund
The Advisers Act’s pay-to-play rule clearly states that a violation of the rule prohibits an adviser from receiving compensation from a public pension...
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...
6/08/2018 | 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 ...
6/01/2018 | 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)...
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...
5/10/2018 | Content area: Private Fund
The fallout continues from a now nearly two years’ old insider trading case involving two portfolio managers at a New York-based hedge fund adviser (P...
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