Articles: 1-10 of 248
SEC Issues Risk Alert on Adviser Examination Process and Settles Charges Regarding Advisers’ Marketing Rule Violations
USA - September 12 2023 On September 6, 2023, the SEC’s Division of Examinations (Division) issued a risk alert outlining its risk-based approach to selecting advisers for…
SEC Settles Separate Charges Regarding Private Equity Firm’s Inadequate Disclosure of Fee Payments to an Affiliate and Advisers’ Failure to Comply with Custody Rule
USA - September 7 2023 On September 5, 2023, the SEC announced settlements related to separate charges against (i) a real estate focused private equity firm (“Firm”) for…
Distinguishing Between Ownership of an Entity and the Entity Itself
USA - September 6 2023 Failing to distinguish between a parent entity and its operating subsidiary can have devastating consequences in the drafting and interpretation of…
Using Contract Language to Eliminate or Mitigate Potential Tort Claims
USA - August 30 2023 Contracts involve the voluntarily imposition of specific obligations on the parties, but there are independent obligations that are imposed on all…
SEC Adopts Significant New Rules Regarding the Regulation of Private Fund Advisers
USA - August 24 2023 On August 23, 2023, the SEC adopted new rules under the Investment Advisers Act of 1940 (the Advisers Act) that significantly increase the regulation…
Application of FinCEN’s Final Rule Regarding the Corporate Transparency Act’s Beneficial Ownership Reporting Requirements to Investment Advisers and Private Funds
USA - August 21 2023 The Financial Crimes Enforcement Network’s (“FinCEN”)[1] final rule implementing the beneficial ownership information (“BOI”) reporting requirements…
Lost Profits May or May Not be Consequential Damages
USA - July 11 2023 Some drafting lessons seem to require constant relearning. And that is no more the case than in drafting the ubiquitous “consequential damages”…
Using Agreements To Cover Gaps In Hydrogen Storage Regs
USA - July 5 2023 Hydrogen is an emerging winner in optimizing the energy transition and reducing dependency on fossil fuels following the inclusion of tax credits for…
SEC Issues Risk Alert on Broadened Focus for Marketing Rule Examinations
USA - June 12 2023 On June 8, 2023, the SEC’s Division of Examinations (Division) issued a risk alert outlining its broadened areas of focus for examinations of…
The Dreaded Right of First Refusal and the “Packaged” Asset Deal
USA - May 25 2023 An important aspect of the diligence involved in acquiring a business is identifying any third party rights that could potentially delay, hinder or…
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