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Whitepaper: Converting Mutual Funds Into ETFs

In our most recent podcast on converting a mutual fund to an ETF we briefly discussed the related legal and operational challenges in the conversion. In this updated whitepaper, we delve deeper into the key considerations and challenges in converting a mutual fund into an exchange-traded-fund.

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SEC Warns: “the number of cases involving private equity will increase.”


Time to Read: 1 minutes Practices: Investment Management, Private Equity, Private Funds, Corporate & Securities Litigation, Government Enforcement / White Collar Criminal Defense, Securities & Public Companies

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On January 23, the Chief of the Securities Exchange Commission’s Asset Management Unit (“AMU”), Bruce Karpati, participated in a question and answer session at the Private Equity International Conference. He discussed the SEC’s plans for oversight of the private equity industry and said that “it’s not unreasonable to think that the number of cases involving private equity will increase.”

The recent nomination of Mary Jo White for SEC Chairman further highlights the increased emphasis placed on enforcement. When he nominated Ms. White, President Obama emphasized this theme, stating that “it’s not enough to change the law. We also need cops on the beat to enforce the law.”

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