SEC Speeches "Private Equity: A Look Back and a Glimpse Ahead" by Marc Wyatt "Spreading Sunshine in Private Equity" By Andrew Bowden David Blass: "A Few Observations in the Private Fund Space" April 5, 2013 Luis Aguilar: "The Role of Chief Compliance Officers Must be Supported" June 29, 2015 Mary Jo White: "Five Years On:Regulation of Private Fund Advisers After Dodd-Frank" October 16, 2015 Mark Wyatt: "Inside the National Exam Program in 2016" October 17, 2016 SEC Enforcement Actions In the Matter of Kohlberg Kravis Roberts & Co. L.P. (broken deal expenses) In the Matter of Lincolnshire Management, Inc. (expense allocation amongst multiple funds) In the Matter of Cherokee Investment Partners (hidden fees/conflicts of interest) In the Matter of Blackstone Management Partners LLC (accelerated monitoring fees) In the Matter Fenway Partners LLC (fee shifting/related party transactions) In the Matter of Alpha Titans LLC (hidden fees) In the Matter of R.T. Jones Capital Equities Management, Inc. (cybersecurity/client security) In the Matter of Apollo Management V, VI, VII, L. P., Apollo Commodities Management In the Matter of Blackstreet Capital Management, LLC SEC No-Action Letters Clover Capital Management No-Action Letter (investment performance advertising) Horizon Asset Management No-Action Letter (portability of investment track record) Managed Funds Association No-Action Letter (definition of knowledgeable employees) Heitman Capital Management, Feb. 12, 2007 Mayer Brown LLP, July 15, 2008 Welsh Carson Anderson & Stowe, June 18, 1993 Cambiar Investors Inc., Aug. 28, 1997 Franklin Management, Inc., Dec. 10, 1998 Association for Investment Management and Research, Dec. 18, 1996 Investment Company Institute, Sept. 23, 1988 Citizens VC, Inc., Aug. 6, 2015 Cybersecurity Writings Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P – Privacy Notices and Safeguard Policies Cybersecurity: Ransomware Safeguarding Customer Records and Information in Network Storage – Use of Third Party Security Features Cybersecurity: Safeguarding Client Accounts against Credential Compromise National Exam Program Risk Alert: April 15, 2014 (OCIE Cybersecurity Initiative) SEC Investment Management Guidance SEC Statement on Recent and Upcoming Regulation Best Interest Examinations from the SEC Division of Examinations (December 2020) Staff Bulletin: Standards of Conduct for Broker-Dealers and Investment Advisers Conflicts of Interest[1] OCIE Risk Alerts (2018) Privately Offered Securities under the Investment Advisers Act Custody Rule, August 2013 Private Funds and the Application of Custody Rule to Special Purpose Vehicles and Escrows, June 2014 Association for Corporate Growth (ACG) Materials ACG SEC Task Force Survey, October 2014 SEC Risk Alerts Observations from Broker-Dealer Examinations Related to Regulation Best Interest (January 2023) Examinations that Focus on Compliance with Regulation Best Interest (April 2020) Cybersecurity: Safeguarding Client Accounts against Credential Compromise (Sept. 2020) Cybersecurity: Ransomeware Alert (July 2020) Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P – Privacy Notices and Safeguard Policies (April 2019) Safeguarding Customer Records and Information in Network Storage – Use of Third Party Security Features (May 2019) Examinations Focused on the New Investment Adviser Marketing Rule1 (Sept. 2022) Observations from Examinations of Private Fund Advisers, January 2022 Investment Adviser MNPI Compliance Issues, April 2022 "Examinations of Advisers and Funds That Outsource Their Chief Compliance Officers" November, 2015 Court Cases Goldstein v. SEC, 451 F.3d 873 (D. C. Cir. 2006)
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