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

Conquering Current Compliance Challenges
Recorded: June 12, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
ENFORCEMENT ACTIONS - ADMINISTRATIVE PROCEEDINGS
Release Date Respondents
IA-5319 08/13/2019 MVP Manager: Exempt-reporting adviser fined $250,000 for
IA-5302 07/17/2019 Salus, LP, et al.: SEC bars and fines private fund adviser for lying on its Form ADV
IA-5301 07/16/2019 Hana Woosuk Byun and a/k/a Hana Kevin Byun: SEC bars unregistered private fund manager for borrowing from his fund and failing to pay back the money
IA-5262 06/28/2019 Avi Chiat: SEC bars private fund adviser and charges him with violating his fiduciary duty to his funds
IA-5251 06/10/2019 David Goulding: SEC bars private fund CCO for giving his father access to funds, and valuation issues
IA-5245 06/04/2019 SEC faults former CCO in private fund valuation case
33-10638 05/14/2019 NextBlock Global and Alex Tapscott: Canadian company and owner fined for misleading claims in selling private sales of blockchain investments
IA-5229 05/06/2019 Corinthian Capital Group, Peter Van Raalte and David Tahan: Custody issues leads to $100,000 fine
33-10633 04/25/2019 Deutsche Bank Trust Company Americas: Bank fined $500,000 for not disclosing it reviewed only hedge funds that agreed to share fees
IA-5226 04/23/2019 Charter Capital Management and Steven Morris Bruce: Shuttered adviser fined for loaning private fund monies to a foreigner that may have helped to take down the IA
33-10628 04/17/2019 Matthew Rossi and SJL Capital: SEC bars former head of state-registered adviser for misleading investors
33-10623 03/28/2019 Dennis Gibb and Sweetwater Investments: OCIE exam of private fund IA/CCO finds fraud, bars firm owner
34-85053 02/05/2019 Frank Dinucci, Jr.: SEC bars B-D rep who pleaded guilty to criminal charges related to lying about a hedge fund's net assets
IA-5096 12/26/2018 Lightyear Capital: Private equity fund adviser fined $400,000 for compliance failures around fees and expenses
IA-5095 12/26/2018 Alexander Burns: SEC bars 31-year-old former PE adviser for fraud that took down several insurance companies
34-84838 12/17/2018 NB Alternatives Advisers: PE adviser fined more than $2 million for misallocating expenses
IA-5074 12/13/2018 Yucaipa Master Manager: Private equity fund adviser fined for not disclosing that funds paid for certain services
IA-5059 10/22/2018 Todd Elliott Hitt: SEC goes after adviser who allegedly stole investor funds
IA-5058 10/19/2018 Michael Rothenberg: SEC bars exempt-reporting adviser for ripping off venture capital funds
IA-5054 09/28/2018 LendingClub Asset Management: $4 million fine and an industry bar for improper valuations
34-84292 09/26/2018 Leroy "Lee" Young: purported hedge fund adviser barred for fraud
IA-5047 09/25/2018 Hudson Housing Capital: Private fund adviser fined $65,000 for not sharing audited financials in time, failing to conduct annual reviews
IC-33226 09/14/2018 Cushing Asset Management: $100,000 penalty for cross trades involving hedge fund clients
33-10546 09/14/2018 Cecil Gregory Earls and Thomas Caggiano: SEC bars two, including a fraudster who started a new fraud after being released from prison
33-10544 09/11/2018 Crypto Asset Management and Timothy Enneking: $200,000 fine for cryptocurrency private fund that lied about registration status
IA-5001 09/07/2018 VSS Fund Management and Jeffrey Stevenson: PE adviser fined $200,000 for hiding change in fund's value from investors
IA-5000 09/06/2018 Mark Graham, Blue Capital Management and Blue Alternative Asset Management: $2.5 million fine and industry bar for hiding and lying about losses
IA-4991 08/22/2018 Aria Partners GP: Private fund adviser's lack of a compliance program leads to firm's demise
IA-4990 08/21/2018 Biltmore Wealth Management and Caleb Overton: $160,000 fine and an industry bar for private fund owner who hid losses
IA-4973 07/19/2018 Michael Devlin: CCO barred and fined $80,000 for failing to disclose conflict connected with his own investment
IA-4970 07/17/2018 New Silk Route Advisors: Private equity fund adviser fined $75,000 for failing to get surprise custody exams
34-83637 07/16/2018 Norman M.K. Louie and Mount Kellett Capital Management: Managing director and PF adviser fined for $3 million loan to portfolio manager
IA-4960 07/10/2018 Oaktree Capital Management: PE Fund adviser fined $100,000 for pay-to-play violations
IA-4952 06/29/2018 THL Managers V and THL Managers VI: $6.5 million in payments assessed against PE fund adviser over inadequate fee disclosures
IA-4950 06/29/2018 Bruce Hauptman and Grand Teton Capital Management: SEC fines private fund adviser $300,000 and bars him for fraud
IA-4932 06/04/2018 Lyxor Asset Management: $500,000 fine for failing to disclose conflicts tied to use of a side letter
IA-4931 06/01/2018 Veteri Place Corporation: PF adviser fined for failing to file Form PFs
IA-4930 06/01/2018 Rose Park Advisors: Another adviser fined for failing to file Form PF
IA-4929 06/01/2018 RLJ Equity Partners: $75,000 fine for failing to file Form PF for five years
IA-4928 06/01/2018 Prescott General Partners: Boca Raton, Fla.,-based adviser filed for failing to file Form PF
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