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The Capital Commitment Blog

Articles: 1-10 of 42

Rocky Mountain Securities Conference: A Review Of Enforcement

USA - June 11 2019 The SEC, in conjunction with the Colorado Bar Association and Colorado Society of Certified Public Accountants, recently sponsored the 51st Annual…

DC Circuit Opinion Reaffirms Fiduciary and Disclosure Obligations of Advisers While Rejecting SEC Finding of “Willful” Violations

USA - May 13 2019 The DC Circuit recently released an opinion addressing the SEC’s administrative findings against registered investment adviser The Robare Group (TRG)…

Rent The Runway Walks into the Litigation Spotlight

USA - April 23 2019 There’s a new unicorn in town, and this time, it isn’t just another tech company. Rent the Runway, also known as RTR, is now officially valued at…

Fraud Claims Against Startup Founder Involving Secondary Market Sales Demonstrate SEC Focus on Privately-Held Companies

USA - April 11 2019 Last week the SEC announced a settlement of fraud claims against the founder of Jumio, Inc, a private mobile payments company, for misstating the…

Delaware Chancery Declines Post-Filing Use of Section 220 Books and Records Inspection Request

USA - February 26 2019 A recent decision by the Delaware Chancery Court suggests that a litigant might forego the ability to file a books and records request if it waits to…

The Top Ten Regulatory and Litigation Risks for Private Funds in 2019

USA - February 20 2019 An increasingly sophisticated and active OCIE division, innovative market disruptors, a maturing credit cycle, and a philosophical change in how the…

Valuation of Illiquid Securities as a Focus of Recent Enforcement Actions

USA - November 26 2018 While the SEC consistently announces that valuation is a “key area of focus,” it is uncommon for regulators to “second guess” valuation…

WSJ Article on Geolocation Data Highlights Risks for Fund Managers

USA - November 7 2018 Last week the WSJ published an article detailing how companies are monetizing smartphone location data by selling it to hedge fund clients. The data…

SEC Announces 2018 Compliance Outreach Program Seminar for Investment Advisers and Investment Companies

USA - February 16 2018 On Tuesday, February 13th, the Securities and Exchange Commission (SEC) announced the opening of registration for its 2018 national compliance…

Chairman Clayton Asks Lawyers to Knock it Off with the Unregistered Coin Offerings

USA - January 23 2018 In his recent remarks at the Securities Regulation Institute, SEC Chairman Jay Clayton had some stern words for market professionals, especially…