Global

Private Equity

Watch

Contributor

David E. Wohl

Partner

+1 212 310 8933

david.wohl@weil.com

Bio on Weil.com

Features, Insights, Legal Developments, What's New on the Watch?

SEC’s Division of Examinations Announces 2024 Examination Priorities for Private Fund Sponsors

Contributor(s)

Features, Insights, Legal Developments, What's New on the Watch?

SEC Settles Charges Regarding Adviser’s Violation of Whistleblower Protection Rules

Contributor(s)

Features, Insights, Legal Developments, What's New on the Watch?

SEC Issues Risk Alert on Adviser Examination Process and Settles Charges Regarding Advisers’ Marketing Rule Violations

Contributor(s)

Features, Insights, Legal Developments, What's New on the Watch?

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

Contributor(s)

Features, Funds, Insights, Legal Developments, What's New on the Watch?

SEC Adopts Significant New Rules Regarding the Regulation of Private Fund Advisers

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

Application of FinCEN’s Final Rule Regarding the Corporate Transparency Act’s Beneficial Ownership Reporting Requirements to Investment Advisers and Private Funds

Contributor(s)

Andrew I.
Chizzik

Timothy C.
Welch

Stephen
Filocoma

Features, Insights, Private Equity Finance, What's New on the Watch?

SEC Settles Enforcement Action Regarding Investment Adviser’s Improper Application and Disclosure of Permanent Impairment Policy

Contributor(s)

Features, Insights, Private Equity Finance, What's New on the Watch?

SEC Issues Risk Alert on Broadened Focus for Marketing Rule Examinations

Contributor(s)

Features, Insights, Private Equity Finance, What's New on the Watch?

SEC Adopts Amendments to Form PF

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

SEC Proposes New Investment Adviser Safeguarding Rule to Enhance Protections of Advisory Client Assets

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

SEC’s Division of Examinations Announces 2023 Examination Priorities for Private Fund Sponsors

Contributor(s)

Features, Funds, Insights, Legal Developments, What's New on the Watch?

Regulatory Developments and Annual Compliance Obligations Applicable to Private Fund Sponsors

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

SEC Clarifies Position on Presentation of Net Returns Under New Marketing Rule

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

SEC Proposes New Investment Adviser Outsourcing Rules

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

SEC Issues Risk Alert on New Investment Advisers Act Marketing Rule Examinations

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

SEC’s Division of Examinations Issues Risk Alert Regarding Investment Adviser MNPI Compliance Issues

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

Division of Examinations Announces 2022 Examination Priorities

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

Proposed SEC Rules Could Dramatically Alter Regulatory Landscape for Private Fund Advisers

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

Regulatory Developments and Annual Compliance Obligations Applicable to Private Fund Sponsors

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

SEC Proposes Amendments to Form PF

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

SEC Chair Announces Initiatives to Increase Transparency and Competition in the Private Fund Industry

Contributor(s)

Features, Funds, Insights, Legal Developments, What's New on the Watch?

Regulatory Developments and Annual Compliance Obligations Applicable to Private Fund Sponsors

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

OCIE Issues Risk Alert Regarding Investment Adviser Compliance Programs

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

SEC Charges Private Fund Sponsor with Failure to Update Schedule 13D in Timely Manner

Contributor(s)

Features, Funds, Insights, Legal Developments

SEC Charges Private Fund Sponsor with Compliance Failures Regarding the Potential Misuse of Material Nonpublic Information

Contributor(s)

COVID-19 Updates, Features, Funds, Insights, What's New on the Watch?

SEC Grants 45 Day Delay for Filing Form ADV and Form PF

Contributor(s)

Features, Funds, Insights, Legal Developments, What's New on the Watch?

Regulatory Developments and Annual Compliance Obligations Applicable to Private Fund Sponsors

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

SEC Charges Accounting Firm to Private Funds with Violating Auditor Independence Rules

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

Treasury Department Announces Mandatory Survey of Foreign Ownership of U.S. Securities

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

SEC Adopts Rules and Interpretations Regarding Duties of Investment Advisers and Broker-Dealers

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

OCIE Issues Risk Alert Regarding Regulation S-P

Contributor(s)

Features, Funds, Thought Leadership, What's New on the Watch?

Regulatory Developments and Annual Compliance Obligations Applicable to Private Fund Sponsors

Contributor(s)

Features, Funds, Quarterly Private Funds Update, Specialist Areas, What's Market?, What's New on the Watch?

Quarterly Private Funds Update

Contributor(s)

Christian
Tappeiner

Features, Funds, Insights, What's New on the Watch?

SEC Sanctions Private Fund Sponsor for Failing to Disclose Conflicts of Interest

Contributor(s)

Features, Funds, Thought Leadership, What's New on the Watch?

SEC Proposes Rules and Interpretations Regarding Duties of Investment Advisers and Broker-Dealers

Contributor(s)

Features, Funds, Thought Leadership, What's New on the Watch?

Regulatory Developments and Annual Compliance Obligations Applicable to Private Fund Sponsors

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

Closing the Door on “Broken Windows” – What Does It Mean for Private Fund Sponsors?

Contributor(s)

Funds, Legal Developments, Thought Leadership, What's New on the Watch?

Recent SEC Developments Impacting Private Fund Sponsors

Contributor(s)

Features, Funds, Insights, What's New on the Watch?

Amendments to Form ADV to Become Effective October 1, 2017

Contributor(s)

Funds, Legal Developments, Thought Leadership, What's New on the Watch?

SEC Sanctions Private Fund Manager and Two Principals for Improperly Valuing Assets and Related Violations

Contributor(s)

Cybersecurity, Features, Funds, Insights, What's New on the Watch?

Cybersecurity Reminder for Private Fund Sponsors

Contributor(s)

Funds, Legal Developments, Thought Leadership, What's New on the Watch?

Regulatory Developments and Annual Compliance Obligations Applicable to Private Fund Sponsors

Contributor(s)

Features, Funds, Insights, Legal Developments, What's New on the Watch?

California Enacts New Legislation Requiring Fee Disclosure by Private Funds

Contributor(s)

Funds, Legal Developments, Thought Leadership, What's New on the Watch?

SEC Adopts Amendments to Form ADV Regarding Separately Managed Accounts and Umbrella Registration and Advisers Act Recordkeeping Rule

Contributor(s)

Features, Funds, Insights, Legal Developments, What's New on the Watch?

SEC Proposes Rule Requiring Registered Investment Advisers to Adopt Business Continuity and Transition Plans

Contributor(s)

Features, Funds, Insights, Legal Developments, What's New on the Watch?

SEC Adjusts Net Worth Test for Qualified Clients

Contributor(s)

Features, Insights, Legal Developments, What's New on the Watch?

Private Equity Adviser Settles Enforcement Action for Acting as an Unregistered Broker-Dealer and Other Violations

Contributor(s)

Funds, Legal Developments, Thought Leadership

Regulatory Developments and Annual Compliance Obligations Applicable to Private Fund Sponsors

Contributor(s)

Cybersecurity, Funds, Legal Developments, Thought Leadership

Did the Regulatory Cybersecurity Shoe Just Drop? SEC Enforcement Action in In re R.T. Jones Capital Equities Management, Inc.

Contributor(s)

Funds, Legal Developments, Thought Leadership

OCIE Publishes Risk Alert Regarding Cybersecurity Examination Initiative for Registered Investment Advisers and Broker-Dealers

Contributor(s)

Funds, Legal Developments, Thought Leadership

Important Regulatory Developments for Investment Advisers Regarding Anti-Money Laundering Regulations and BEA Form BE-180

Contributor(s)

Funds, Legal Developments, Securities Laws, Thought Leadership

SEC Issues Guidance Regarding Investment Adviser Code of Ethics Reporting Exception

Contributor(s)

Funds, Legal Developments, Thought Leadership

SEC Proposes Amendments to Form ADV Regarding Separately Managed Accounts and Umbrella Registrations

Contributor(s)

Funds, Legal Developments, Thought Leadership

OCIE Director Shares Observations From Recent SEC Examinations of Private Equity Advisers

Contributor(s)

Funds, Legal Developments, Thought Leadership

SEC Division of Investment Management Provides Cybersecurity Guidance to Registered Funds and Advisers

Contributor(s)

Funds, Legal Developments, Thought Leadership

Prominent Investment Adviser and Former Chief Compliance Officer Settle SEC Enforcement Action Arising from Failure to Disclose Conflict of Interest Regarding Outside Business Activities

Contributor(s)

Funds, Legal Developments, Thought Leadership

Periodic Regulatory Filings and Annual Compliance Obligations Applicable to Private Fund Sponsors in 2015

Contributor(s)

Funds, Legal Developments, Thought Leadership

SEC Issues Guidance on the Application of the Custody Rule to Special Purpose Vehicles and Escrow Accounts

Contributor(s)

Funds, Legal Developments, Thought Leadership

Annual Compliance Filing Requirements and Additional Regulatory Developments for Private Fund Sponsors

Contributor(s)

Funds, Legal Developments, Thought Leadership

SEC Issues Guidance on Regulation D “Bad Actor” Rules

Contributor(s)

Funds, Legal Developments, Securities Laws, Thought Leadership

SEC Issues Guidance Update with Respect to Privately Offered Securities under the Custody Rule

Contributor(s)