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SEC Adopts Higher Net Worth Threshold for Qualified Clients under the Advisers Act
  • Proskauer Rose LLP
  • USA
  • June 22 2016

In an order dated June 14, 2016, the Securities and Exchange Commission (SEC) adopted its prior proposal to increase the net worth threshold for


SEC Announces Settlement with Adviser Found to Have Acted as an Unregistered Broker and Engaged in Conflicted Transactions
  • Proskauer Rose LLP
  • USA
  • June 8 2016

On June 1, 2016, the SEC announced a settlement with Blackstreet Capital Management, LLC and Murry N. Gunty, Blackstreet's managing member and


New Year: New Regulatory Developments Affecting Managers of Hedge Funds, Private Equity Funds and Other Private Funds
  • Proskauer Rose LLP
  • USA, OECD
  • January 25 2016

Regulators were busy at the end of 2015, especially in the United States, perhaps being motivated to push forward new rule proposals in anticipation


SEC Staff Announces 2016 OCIE Examination Priorities
  • Proskauer Rose LLP
  • USA
  • January 13 2016

On January 11, 2016, the staff of the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC)


2015 Proskauer annual review and outlook for hedge, private equity and other private funds
  • Proskauer Rose LLP
  • USA
  • November 26 2015

The following annual review (Annual Review) is a summary of some of the significant changes and developments that occurred in the past year and


SEC action against private fund adviser highlights importance of proper expense apportionment
  • Proskauer Rose LLP
  • USA
  • November 6 2015

On November 5, 2015, the Securities and Exchange Commission (SEC) announced that it had reached a settlement with Cherokee Investment Partners, LLC


Partnership-level tax under new audit rules
  • Proskauer Rose LLP
  • USA
  • November 5 2015

The Bipartisan Budget Act of 2015, signed into law on November 2, 2015, has significantly changed the partnership tax audit rules, effective for tax


SEC charges private equity firm and four executives with failing to disclose conflicts of interest
  • Proskauer Rose LLP
  • USA
  • November 4 2015

On November 3, 2015, the Securities and Exchange Commission (SEC) announced that it had reached a settlement with Fenway Partners, LLC, a New


SEC announces cybersecurity enforcement action
  • Proskauer Rose LLP
  • USA
  • September 24 2015

On September 22, 2015, the Securities and Exchange Commission (SEC) announced the settlement of an enforcement action against a St. Louis-based


Proposed AML regulations for registered investment advisers released by FinCEN
  • Proskauer Rose LLP
  • USA
  • September 1 2015

On August 25, 2015, the U.S. Department of the Treasury's Financial Crimes Enforcement Network (FinCEN) released proposed rules that would require