Experience

• • Riversource, an affiliate of Ameriprise, in responding to and settling an investigation from the SEC’s Division of Enforcement.
  • Pacific Investment Management Company in a settlement with the SEC relating to the launch of an exchange traded fund.
  • Oaktree in its settlement with the SEC relating to alleged violations of the pay-to-play provisions of the federal securities laws.
  • KKR in its settlement with the SEC relating to the allocation of broken deal expenses between its investment funds.
  • A private equity firm in an SEC investigation focused on the sale of portfolio assets between a fund and another managed account.
  • A private equity firm in an SEC investigation of the allocation of certain litigation-related expenses between commonly managed funds.
  • A principal of a hedge fund manager in an SEC trading investigation.
  • A hedge fund manager in an SEC investigation of dealer interposed-cross trades of fixed income products.
  • A hedge fund manager and principal in an SEC investigation into representations concerning investment strategy disclosures.
  • A fund-of-fund platform in due diligence of an asset manager in the acquisition of a minority stake in an investigation.
  • A family office of the principal of a large private equity firm in negotiating a compliance governance framework between the family office and the firm.
  • Regular advice to hedge fund and private equity sponsors in SEC examinations.
  • A registered investment company in an SEC investigation of alleged dealer-interposed cross-trades.
  • Ameriprise Financial Services, in its SEC settlement of alleged performance marketing violations related to the use of F-Squared investment strategies.
  • Lyxor Asset Management, in its settlement with the SEC over the alleged non-disclosure of a conflict of interest.
  • A large retail investment adviser, in its settlement arising from the SEC’s Share Class Selection Disclosure Initiative.
  • A large retail investment adviser in an SEC investigation of marketing support arrangement fees.
  • A hedge fund manager in an investigation by a foreign regulator into market abuse and insider dealing.
  • A hedge fund manager in an SEC investigation related to the valuation of structured products.
  • A hedge fund manager in an SEC insider trading investigation.
  • A large retail investment adviser in an investigation of the use of proprietary products in discretionary investment programs.