Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Private Equity Funds: Regulation (41)
Your search for Private Equity Funds: Regulation returned 41 results.
Sorted by Date

9/06/2018 | Content area: Investment Adviser
The SEC, along with four other federal financial regulatory agencies, has determined to extend by 30 days the comment period for a proposed rule to si...
10/07/2015 | Content area: Private Fund
A failure to properly disclose accelerated monitoring fees has landed three private equity fund advisers within the $330 billion Blackstone Group a $3...
10/07/2015 | Content area: Investment Adviser | Private Fund
Although Blackstone disclosed that it may receive monitoring fees from portfolio companies held by the funds it advised, and disclosed the amount of m...
7/30/2015 | Content area: Private Fund
Given that many state public pension plans invest in private equity funds, a collection of 12 state treasurers – from California to Vermont – have pet...
7/02/2015 | Content area: Private Fund
Senior SEC Enforcement and OCIE officials have been hinting at this one for a while—a private equity enforcement case centered around misallocated exp...
5/14/2015 | Content area: Private Fund
One year after his predecessor talked about compliance for private equity fund advisers (IA Watch, May 12, 2015), OCIE’s Acting Director Marc Wyatt ad...
5/07/2015 | Content area: Private Fund
Regulator interest in how private equity fund advisers assess and disclose fees and expenses has been as transparent as a stadium scoreboard. Irony ex...
1/15/2015 | Content area: Private Fund
One of the more surprising topics absent from OCIE’s new and shortened 2015 exam priorities list is custody. That issue has drawn examiners’ glare sin...
12/04/2014 | Content area: Private Fund
As the annual Form ADV amending season draws near, don’t forget that in addition to your clients and potential clients, you will have an equally atten...
12/03/2014 | Content area: Private Fund
Private equity is benefitting from greater transparency but should consider further improving their disclosures, says SEC Commissioner Kara Stein. She...
11/21/2014 | Content area: Investment Adviser | Broker-Dealer | Private Fund
SEC Enforcement Director Andrew Ceresney in 2014 talks about a record year in cases, including an action against a private equity firm related to its ...
10/22/2014 | Content area: Private Fund
Entities are increasingly popping up whose business model is based specifically on providing “accredited investor” certification services. “The need i...
9/25/2014 | Content area: Private Fund
Hedge fund advisers are having some advertising and marketing compliance issues and 2015 will see SEC examiners focus on retiring investors. These nug...
9/25/2014 | Content area: Private Fund
The fallout from the 2008 collapse of Lehman Brothers continues. This time the cost is $15 million—the penalty Barclays Capital ($12.9B in AUM) will p...
9/16/2014 | Content area: Private Fund
Hedge fund advisers lured by rapid growth in the more than $300 billion alternative mutual funds market are increasingly becoming involved with the fu...
9/15/2014 | Content area: Broker-Dealer | Private Fund
The SEC is 90% toward tackling its mandated Dodd-Frank rulemaking. In recent testimony before the Senate Banking Committee, Chair Mary Jo White noted ...
8/11/2014 | Content area: Broker-Dealer | Private Fund
They were the words that jolted the private equity industry. SEC official David Blass spoke in April 2013, warning private equity fund advisers that t...
5/26/2014 | Content area: Broker-Dealer | Private Fund
A year has passed since SEC official David Blass created a stir by reminding the industry that receiving transaction-based compensation may require a ...
5/12/2014 | Content area: Private Fund
There's a really easy tipoff to examiners that a firm's compliance operation may not be up to snuff. When the firm's asked what it considers its signi...
3/24/2014 | Content area: Private Fund
The call conjured up a mystery reminiscent of a spy novel, and raised suspicions like a fingerprint left at a crime scene. A peer had directed IA Watc...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US