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Private Equity Fund Advisers Agree to Settle Charges of Improperly Disclosing Acceleration of Monitoring Fees and Improperly Supervising Expense Reimbursement Practices
  • Drinker Biddle & Reath LLP
  • USA
  • August 25 2016

In a recent action, the SEC demonstrated its continuing focus on private equity fund advisers' fees. On August 23, 2016, Apollo Management V, LP


SEC Busts Apollo for Disclosure and Supervisory Failures
  • Stinson Leonard Street LLP
  • USA
  • August 23 2016

The SEC charged four private equity fund advisers affiliated with Apollo Global Management for misleading fund investors about fees and a loan


Putting a Premium on Illiquidity: Some Reflections on the SEC’s Scrutiny of Valuation Practices and Disclosures
  • Proskauer Rose LLP
  • USA
  • August 19 2016

Valuation is typically near the top of the list when the SEC's enforcement division and exam staff disclose their priority topics for private funds


Other developments - June - July 2016
  • Ropes & Gray LLP
  • European Union, United Kingdom, USA
  • August 11 2016

Since the last issue of our Investment Management Update, we have also published the following separate Alerts of interest to the investment


2016 Mid-Year Securities Litigation and Enforcement Highlights
  • Baker & Hostetler LLP
  • Ireland, USA
  • July 29 2016

Welcome to the 2016 Mid-Year Report From the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide


Impact of Brexit on UK FinTech
  • K&L Gates
  • European Union, United Kingdom, USA
  • July 20 2016

In this insight we consider the current and potential effect of Brexit on the UK’s FinTech industry across areas including regulation and passporting


Securities Enforcement: 2016 Mid-Year Review
  • Shearman & Sterling LLP
  • USA
  • July 20 2016

The Securities and Exchange Commission (SEC or Commission) brought over 400 enforcement actions in the first half of fiscal year (FY) 2016, and is on


International Regulatory Update 11 - 15 July 2016
  • Clifford Chance LLP
  • European Union, Global, Hong Kong, United Kingdom, USA
  • July 19 2016

The EU Commission has published a proposed Regulation to amend Regulation (EU) 3452013 on European Venture Capital Funds (EuVECA Regulation) and


OCIE Begins IA Sweep to Detect Possible Conflict of Interest Related to Recommendations of Mutual Fund Shares Classes With High Charges
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations announced that, in upcoming audits, it would specifically


Ethereum’s DAO attack: smart contracts and blockchain face their first big test
  • Clyde & Co LLP
  • USA
  • June 30 2016

On 17 June 2016, USD 60 million was siphoned from Ethereum’s first decentralised autonomous organisation (DAO). The affected DAO is simply (albeit