November 16, 2020

Jim Lundy Talks to Private Equity Law Report About SEC Enforcements Proceedings Against Fund Manager and CCO for Compliance Failures and Deception

In the Private Equity Law Report article, “SEC Fines and Bars CCO From the Funds Industry for Compliance Failures and Deceiving OCIE,” Faegre Drinker partner Jim Lundy provides perspective on the SEC’s recently settled enforcement proceedings against a fund manager and its CCO for failing to implement written policies and procedures the company adopted to address deficiencies in its supervisory system that were uncovered during a FINRA investigation.

The full article is available to Private Equity Law Report subscribers only.

Full Article
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