The Risks of Unregistered Broker Activity and Solicitations for Private Investment Funds

The Risks of Unregistered Broker Activity and Solicitations for Private Investment Funds

Speaking Engagement

WilmerHale Partners Elizabeth Derbes and Timothy Silva will be featured panelists at this webinar, which will cover the following topics:

  • Broker registration requirements in the context of private fund offerings
  • Red flags that fund managers, brokers and finders must be aware of to avoid penalties and prosecution
  • The Ranieri Partners and Stephens enforcement actions
  • Recent SEC scrutiny on marketing activities of private fund managers 

Read More About the Event

Speakers