SEC Spotlight: The SEC’s Proposed Rule Amendments


23 Feb

SEC Spotlight: The SEC’s Proposed Rule Amendments


Over the past two weeks, the SEC has proposed a number of rule amendments under the Investment Adviser’s Act of 1940 and related federal securities laws that have specific application to private fund advisers. During this discussion, panelists will discuss the content of the proposed rules as well as certain key takeaways for both registered and unregistered private fund advisers.

Speakers:
Patricia A. Poglinco (moderator), Partner, Seward & Kissel
Daniel Bresler, Partner, Seward & Kissel
Nicholas R. Miller, Partner, Seward & Kissel
Kevin Neubauer, Partner, Seward & Kissel

Speakers

Daniel Bresler
Partner

Dan primarily represents U.S. and non-U.S. investment managers, commodity pool operators, commodity trading advisors and private funds, including hedge funds, private equity funds and commodity pools.
Full bio here

Nicholas R. Miller
Partner

Nick regularly advises sponsors and managers of private investment funds, including hedge funds and private equity funds, regarding formation, structuring and capital raising matters.  He has extensive experience structuring onshore and offshore investment vehicles, such as special purpose vehicles, co-investment vehicles, separately managed accounts and funds-of-one. In addition, Nick frequently counsels registered and unregistered investment advisers on regulatory compliance matters.  Nick also regularly represents both seeders and investment managers in connection with seed and anchor investments, and is a frequent contributor on the topic.
Full bio here

Kevin Neubauer
Partner

Kevin works with sponsors and managers of various private investment funds and other pooled investment vehicles, including private equity funds, hedge funds, funds of funds, commodity pools, and various “hybrid” funds.
Full bio here

Patricia A. Poglinco
Partner

Pat’s practice specialties include the representation of investment advisers and related regulatory compliance; the formation and representation of private investment partnerships, group trusts and various offshore investment vehicles; the formation and CFTC registration of commodity pools, commodity pool operators and commodity trading advisors; the formation and ongoing representation of registered investment companies (open-end and closed-end funds) and their managers, distributors, underwriters and other service providers; and general securities and general corporate matters.
Full bio here