May 2, 2013

The SEC's Private Equity "Initiative" Leaves No Stone Unturned: Time to Look at Your Compliance Programs
by Lorelei D. Cisne

In March, the SEC settled two enforcement actions involving private equity. The two actions are just the latest indicators of the SEC’s wide ranging and close scrutiny of the private equity industry, which has been ongoing for some time. We are hearing multiple speeches by SEC Staff focused on perceived compliance problems in the private equity industry. Focusing on both registered and unregistered investment advisers, the SEC has expressed concern with virtually every type of violation, large and small, of which a private equity investment adviser is capable. Please click here to read this alert.


Top Headaches for Conducting a Private Offering
by Robert F. Dow

Preparing and completing a private offering of securities in compliance with federal and state securities laws can be a daunting task. There are many pitfalls along the way. In this alert we have listed the top headaches we have encountered in practicing in this area over the years. Please click here to read this alert.


If we can be of any assistance to you in this or any other matter, please feel free to contact any member of the Securities and Corporate Governance Practice at Arnall Golden Gregory LLP.

Joe Alley                 404.873.8688                Bob Dow                  404.873.8706
Greg Chait 404.873.8622 Steve Fox 404.873.8528
Chip Presten 404.873.8586 Lynn Scott 404.873.8510
Lorelei Cisne 404.873.8748 Terrell Gilbert 404.873.7018
Matt Harris 404.873.8118 Tanner Ivie 404.873.8788




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