Earlier this month, the U.S. Second Circuit Court of Appeals denied the government’s request that the court reexamine its ruling in United States v. Newman. ...
While you’re likely to breathe a sigh of relief once SEC examiners have closed your exam – especially if the outcome were successful – take ...
While wrapping up its presence exam initiative by meeting with about 180 private equity firms, the Securities and Exchange Commission will continue reviewing limited partner agreements, private ...
TPG Capital was sued on Thursday by its former head of public affairs, who accused the private equity giant of ignoring his warnings that the ...
Lynn Tilton and her New York-based Patriarch Partners firms were hit with SEC fraud charges March 30 tied to concealing the poor performance of loan ...
In a bid to require the SEC to implement a more rigorous, fair and public process for the granting of disqualification waivers, Rep. Maxine Waters ...
It goes back some time, SEC examiners’ interest in GIPS at those firms that claim compliance with those standards (IA Watch, Nov. 22, 2010). The ...
Saying “it’s beyond time to act” on the lack of exams for IAs, SEC Chair Mary Jo White last week said permitting “a program of ...
A private equity fund manager admitted March 16 to stealing more than $8 million from investors, which he was accused of using to pay commissions ...
Just as OCIE did last year before launching its cybersecurity initiative that visited some 100 firms (IA Watch, April 21, 2014), look for the agency ...