Articles

Results 1 to 3 of 3
Most popular |Most recent


U.S. District Court: Fund Trustees Cannot Rely on Attorney-Client Privilege in Section 36(b) Case

USA - December 2 2016 A federal district court has ordered mutual fund trustees to produce privileged documents to a plaintiff who sued an investment adviser accused of…

Jay G. Baris, Kelley A. Howes, Matthew J. Kutner, Murray A. Indick.

The SEC Adopts Amendments to Form ADV and Recordkeeping Rule: Advisers Now Required to Disclose Information About Separately Managed Accounts

USA - September 1 2016 The Securities and Exchange Commission (SEC) recently amended Form ADV to require investment advisers to disclose more information about their…

Jay G. Baris, Kelley A. Howes.

Private Equity Fund Manager Sanctioned for Acting as Unregistered Broker-Dealer

USA - June 3 2016 A recent SEC Enforcement action against a private equity fund manager highlights the SEC’s renewed focus on transaction-based compensation received…

Hillel T. Cohn.