Christopher S. Avellaneda

Sep 9, 2024 | mondaq.com | Christopher S. Avellaneda |Allison Bernbach |Michael Didiuk |Marc E. Elovitz

On Aug.

Jul 1, 2024 | mondaq.com | Christopher S. Avellaneda |William J. Barbera |Allison Bernbach |Michael Didiuk

SR Schulte Roth & Zabel LLP More With a firm focus on private capital, Schulte Roth & Zabel comprises legal advisers and commercial problem-solvers who combine exceptional experience, industry insight, integrated intelligence and commercial creativity to help clients raise and invest assets and protect and expand their businesses.

May 31, 2024 | mondaq.com | Christopher S. Avellaneda |Allison Bernbach |Michael Didiuk |Marc E. Elovitz

The SEC's Examination Staff continues to focus on investment adviser's compliance with the Marketing Rule. In a recent Risk Alert, the Examination Staff identified specific deficiencies it has found both as to the content of advertisements and compliance policies and procedures related to marketing activities. This Alert describes key features of the Examination Staff's findings and highlights useful compliance practices.

Mar 15, 2024 | mondaq.com | Christopher S. Avellaneda |Allison Bernbach |Marc E. Elovitz

On Feb. 6, the staff of the US Securities and Exchange Commission's Division of Investment Management ("Staff") issued an updated FAQ ("FAQ") with respect to Investment Advisers Act Rule 206(4)-1 ("Marketing Rule"), excerpted below,1 addressing the presentation of gross and net internal rates of return ("IRRs") when the fund uses subscription lines to fund investments.

Nov 3, 2023 | mondaq.com | Christopher S. Avellaneda |Allison Bernbach |Michael Didiuk |Marc E. Elovitz

On Oct. 16, 2023, the Division of Examinations ("Division" or "Exam Staff") released its 2024 Examination Priorities ("Priorities"),1 months before these have typically been published to more closely align the release with the start of the SEC's fiscal year, which began Oct. 1.