Subject to Inquiry

Subject to Inquiry


Government Investigations and White Collar Litigation Group

Brian Baltz

Photo of Brian Baltz Brian is a partner in the firm’s Government Investigations and White Collar Litigation Department and member of the Securities Enforcement & Litigation team. Brian counsels financial institution clients with a focus on issues that cut across their broker-dealer, investment adviser, and bank fiduciary business models.

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SEC Focus on Private Fund Advisers Continues With the Publication of EXAMS Risk Alert

Enforcement and Prosecution Policy and Trends, Securities and Commodities
On January 27, 2022, the Division of Examinations (“EXAMS”) of the U.S. Securities and Exchange Commission (“SEC”) published a Risk Alert with its Observations from Examinations of Private Fund Advisers. This Risk Alert is one of a series of signals of the SEC’s focus on private fund advisers under Chairman Gensler, including Form PF amendments… Continue Reading

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