18th Annual International Conference on Private Investment Funds

5 Mar - 7 Mar 2017

Session information

Plenary session six An anatomy of recent SEC enforcement settlements


Private Investment Funds Subcommittee (Lead)


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.

Session / Workshop Chair(s)

Barrie Covit Simpson Thacher & Bartlett, New York, New York, USA


Jahan P Raissi Shartsis Friese LLP, San Francisco, California, USA
Julie Riewe Debevoise & Plimpton LLP, Washington, District of Columbia, USA
Antonio Yanez Willkie Farr & Gallagher LLP, New York, New York, USA