Results 6 to 10 of 110

Private Equity Fund Advisers Acting as Broker-Dealers - Key Takeaways from the Blackstreet Capital Management, LLC Matter

USA - June 21 2016 Earlier this month, the SEC sent a message to the private equity industry regarding unregistered broker-dealer activity. The SEC charged an…

Glen P. Barrentine, Eva Davis, Basil V. Godellas, Bradley C. Vaiana

Financial Services Update, Vol. 13, Issue 43

European Union, United Kingdom, USA - November 19 2018 The topic of Brexit has been the subject of a high degree of anxiety within the financial services industry. In a potentially positive development, on…

Basil V. Godellas, James A. Tannock

A Tale of Two Crypto Funds

USA - January 29 2019 On September 11, 2018, the Securities and Exchange Commission (SEC) brought its first-ever enforcement action against a crypto-asset hedge fund for…

Basil V. Godellas, Michael L. Loesch, Joseph H. Nesler

Financial Services Update, Vol. 12, Issue 15

USA - April 10 2017 Winston & Strawn’s weekly Financial Services Update publication covers news pertinent to the financial services industry and provides summary…

Glen P. Barrentine, Basil V. Godellas, Julius L. Loeser

Financial Services Update, Vol. 12, Issue 19

USA - May 8 2017 On May 3rd, the SEC proposed amendments to the definitions of “venture capital fund” and “assets under management” under rules 203(l)-1 and 203(m)-1…

J. Wade Challacombe, Basil V. Godellas