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Earnings calls for two publicly listed private equity firms were spiced up this week by analyst questions about how the firms calculate net internal rates ...
Only a few months after the SEC charged an investment adviser with falsely claiming compliance with the Global Investment Performance Standards (IA Watch, June 2, ...
The U.S. Securities and Exchange Commission is examining how private equity firms report a key metric of their past performance when they market new funds ...
A senior U.S. Securities and Exchange Commission official on Thursday urged private equity firms to follow Blackstone Group LP’s decision to stop a controversial fee practice in ...
Entities are increasingly popping up whose business model is based specifically on providing “accredited investor” certification services. “The need is out there due to the ...
The inquiry from the SEC came in on Friday, Oct. 13, 2000. It would lead to alleged insider trading charges uniquely applied to mutual fund ...
The SEC’s rules regarding advertising and marketing were developed long before the internet could have ever been imagined but that doesn’t mean your firm’s website ...
The insider trading case that led to Wells Fargo Advisors ($334B in AUM) in St. Louis last month paying a $5 million fine to the ...
The U.S. Securities and Exchange Commission may consider significant changes to the definition of “accredited investor” pending a recommendation of an Investor Advisory Committee. The ...
Hedge fund advisers are having some advertising and marketing compliance issues and 2015 will see SEC examiners focus on retiring investors. These nuggets were among ...
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