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SEC Settlement Reflects Continued Scrutiny Regarding Conflicts and Preferential Treatment | Lowenstein Sandler LLP

Published: May 21, 2024

On May 14, 2024, the U.S. Securities and Exchange Commission (SEC) announced a settlement with a registered investment adviser (Adviser) that found the Adviser had (a) failed to...

Source: jdsupra.com

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Exchange CommissionLowenstein SandlerSmas To Production CompanyProduction CompanyFilm StudioExecutive ProducerPrincipal FailedMaterial ConflictInterest ResultingPrincipal Improperly PreferencedInvestment Advisers ActPreferential TreatmentPreferential Treatment RulePrivate Funds Rules