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Private Equity (21)
Your search for Private Equity returned 21 results.
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4/01/2019 | Content area: Investment Adviser | Private Fund
This is a recent exam letter received by an investment adviser that features private funds.
1/10/2019 | Content area: Investment Adviser | Private Fund
In what may be the last SEC no-action letter released for some time due to the government shutdown, the Division of Investment Management last month g...
1/04/2018 | Content area: Investment Adviser
Call it the holiday gift that keeps on giving. Late last month the President signed the most sweeping tax reform legislation in 30 years. Many element...
9/27/2017 | Content area: Investment Adviser | Private Fund
The Commission’s complaint alleges that in November and December 2016, while employed at the Investment Bank, Krishnamoorthy learned highly confidenti...
8/03/2017 | Content area: Investment Adviser
Strong stock market performance in the past year has propelled the aggregate regulatory assets under management of SEC-registered investment advisers ...
7/27/2017 | Content area: Investment Adviser | Private Fund
This week, two attorneys from separate law firms will be deposed in an SEC enforcement case that even the ALJ has described as one offering “extraordi...
7/19/2017 | Content area: Investment Adviser | Private Fund
A peer shares a copy of OCIE's exam letter that included a look at private equity.
10/13/2016 | Content area: Investment Adviser | Private Fund
The SEC has reached a new single year high in the number of enforcement actions brought in a fiscal year.  The Commission announced Oct. 11 that in fi...
9/08/2016 | Content area: Investment Adviser | Private Fund
To amend the Investment Advisers Act of 1940 and to direct the Securities and Exchange Commission to amend its rules to modernize certain requirements...
4/28/2016 | Content area: Investment Adviser | Private Fund
The number of SEC examinations resulting in a referral to the Division of Enforcement has remained fairly constant over the past five years—falling in...
4/07/2016 | Content area: Investment Adviser | Private Fund
The outcry in the wake of the Panama Papers release has quickly filtered down to investment advisers. Fewer than 24 hours after the release, a group o...
11/23/2015 | Content area: Investment Adviser | Private Fund
JHP did not adequately disclose to the advisory boards of the affected Funds the potential conflicts of interest created by the undisclosed loans and ...
11/05/2015 | Content area: Investment Adviser | Private Fund
Although the Funds’ limited partnership agreements disclosed that the Funds would be charged for expenses that in the good faith judgment of the gener...
11/03/2015 | Content area: Investment Adviser | Private Fund
Fenway Consulting ultimately received an aggregate of $5.74 million from the Portfolio Companies during the Relevant Period. However, in contrast to t...
10/19/2015 | Content area: Investment Adviser
The SEC alleges that the CFI and NuPower offerings violated several registration provisions of the federal securities laws. As the complaint alleges, ...
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...
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 ...
2/12/2014 | Content area: Investment Adviser | Private Fund
This page was updated in 2015. To see the SEC's actual site, which may contained more updated FAQs, visit http://www.sec.gov/divisions/investment/pfrd...
8/30/2012 | Content area: Investment Adviser | Private Fund
The SEC issued this no-action letter in reference to an entity that sort assurance it needn't register as an Investment Company fund.
10/31/2011 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is the 2011 final rule from the SEC laying down the rules for advisers to private funds, some commodity pool operators and trading advisers to co...


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