18th Annual International Conference on Private Investment Funds
5 Mar - 7 Mar 2017
Plenary session six An anatomy of recent SEC enforcement settlements
Tuesday 7 March (1345 - 1500)
Private Investment Funds Subcommittee
This panel will involve an in-depth examination of a handful of recent SEC enforcement settlements that have had significant effects on the alternative asset managers and the private funds that they advise. Topics for discussion arising out of these cases, which have been brought against some of the best known managers, will include alleged trading on insider information, breaches of fiduciary duty, undisclosed conflicts of interest, mis-valuation of assets and inappropriate allocations of fees and expenses.