Given that many state public pension plans invest in private equity funds, a collection of 12 state treasurers – from California to Vermont – have ...
Some private equity advisers offer only one fund. But for those with a more expansive business model, the issue of how to allocate investments among ...
SEC Chair Mary Jo White has now jumped into the debate swirling among her fellow commissioners Luis Aguilar and Daniel Gallagher concerning CCO liability and ...
Senior SEC Enforcement and OCIE officials have been hinting at this one for a while—a private equity enforcement case centered around misallocated expenses. On June ...
The price for hiding serious conflicts of interest from clients has proven high for PageOne Financial and its sole owner and principal Edgar Page. On ...
TPG Capital LP said on Wednesday its former head of public affairs, who had accused it of violating securities regulations and defrauding investors out of ...
An off-balance sheet loan program coming into wider use has been providing a partial work-around to the one-to-one debt-to-equity ratio cap for business development companies, ...
It’s nice when you have something to compare an experience with, such as an SEC exam. Three compliance officers who’ve been through multiple exams separately ...
A best practice talked about often these days is to ship a cybersecurity questionnaire to your vendors. Some of your counterparties may even be sending ...
Three strikes and you’re out. A critical SEC exam best practice is to make sure you address and correct deficiencies previously cited by the Commission and ...