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The #SEC recently brought an action against an investment adviser for arranging conflicted loans to help its funds close a transaction. The loans were provided by a lender partially owned by the adviser's Executive Director. Although the funds had a mechanism for conflict resolution, it was never triggered because the conflict was not properly identified possibly because the loans appeared to benefit investors. This case highlights that even if a transaction appears to benefit investors, it may still pose a conflict that needs to be resolved. #Regulation #Compliance Our analytical note: https://lnkd.in/eaDGx9Bn SEC Order: https://lnkd.in/e78diwct

MLPs: What is a Master Limited Partnership? 4 Key Risks Master Limited Partnerships, or MLPs, are a unique investment vehicle that combines the tax benefits of a partnership with the liquidity of publicly traded securities. These structures are primarily used in capital-intensive industries like energy and natural resources, offering investors the opportunity to invest in businesses that generate steady cash flows. https://lnkd.in/g9g2f7dt #mlp #finra #bhseclaw #investorprotection

On April 29, 2024, the SEC settled with the adviser for undisclosed legal fee sharing with a mutual fund, resulting in a $2.5M cover-up and hefty penalties. They found that from February 2017, the adviser and the fund shared legal counsel without the trustees' knowledge, which allegedly violated the Investment Company Act and the Advisers Act. Visit our website to learn more. 🌐 www.fintechlegal.io 📺 https://lnkd.in/gppZCGm6 #FintechLaw fintech #FinancialIndustry #LegalAssistant #DigitalAssistant #finance #fintechs #settlement #mutualfund #mutualfunds #legalmatters #penalty #penalties #investment #investments #investmentcompany #adviser #financialadviser #news

Investor Protection & Securities (2024) #InvestorProtection #securitiesupdate #InvestorEducation #UnclaimedFunds #corporateinsurance #SEBIregulations #employeeshareplans #stockallotment #SEBIGuidelines #FinancialReforms #InvestmentSafety #CorporateLaw

On February 22, the Canadian Securities Administrators issued updated guidance for conducting virtual shareholder meetings. Our securities and corporate finance team provides an overview of this announcement, including what shareholders can do to increase virtual engagement. Read more: #Corporate #CorporateFinance #CanadianSecuritiesAdministrators #CapitalMarkets

Last year, the SEC released final rules under the Advisers Act, focused on private fund disclosures and sponsor practices. The final rules were designed to protect investors in private funds and prevent fraud by investment advisers. Shortly following their adoption, the final rules were challenged by six associations representing private fund managers. Recently the United States Court of Appeals for the Fifth Circuit vacated the final rules based on the determination that the SEC did not have authority to formulate the final rules in the first place. Read the full details and its impact our bulletin: https://bit.ly/3RwRWHH #privateequity #transactions #investments #fundformation #privatefund #capitalmarkets #banking #financialinstitutions #regulatory #advisory Batya Nadler | Max Shakin | Andrew Beck

Securitization reshapes finance by turning illiquid assets into tradable securities. Discover how it can diversify your funding sources and enhance financial stability. Learn more: https://lnkd.in/dfcbMjdr Subhamoy Chatterjee #Finance #Securitization #Investment #FinancialFreedom #SmartInvesting

On February 22, the Canadian Securities Administrators issued updated guidance for conducting virtual shareholder meetings. Our securities and corporate finance team provides an overview of this announcement, including what shareholders can do to increase virtual engagement. Read more: https://lnkd.in/gE2j4eG4 #Corporate #CorporateFinance #CanadianSecuritiesAdministrators #CapitalMarkets

Start Online Equity trading with us and become smart investor by creating wealth. Call us now, to know more. #equity #finance #wealthmanagement #wealthcreation #truptimanagement #SIP #financialfreedom #advisory

In Part 4 of the our Asset Recovery series, we talk about the powers of the liquidators, to: 1. Examine directors of the debtor 2. Unfair preferences 3. Transactions at an undervalue We also talk about funding arrangements to allow creditors a priority in pursuing claims in recovery.