Investment Adviser Conflicts Under the SEC's New Enforcement Paradigm

Schulte Roth & Zabel lawyers Douglas Koff, Charles Clark, Derek Lacarrubba and J. Eric Prather published a Bloomberg Law article titled, “Investment Adviser Conflicts Under the SEC's New Enforcement Paradigm,” in which they discuss the SEC’s return to an aggressive enforcement posture, including increased scrutiny of accelerated monitoring fees and other long-standing and widespread industry practices. They also noted that advisers should not assume their current compliance practices will be sufficient to satisfy these new regulations and enforcement mechanisms.