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It isn't often that the SEC pursues charges against advisers for GIPS violations and even more unusual for the agency to fine a former CCO ...
Andrew J. Bowden, director of compliance inspections and examinations at the U.S. Securities and Exchange Commission, gave such a startling speech about the industry in ...
A year has passed since SEC official David Blass created a stir by reminding the industry that receiving transaction-based compensation may require a firm to ...
Perhaps you've mulled the best practice Margaret Hornbeck accomplished after we recently revealed OCIE's new 27-item trade blotter template (IA Watch, April 28, 2014). The ...
During its first wave of examinations of sponsors, the SEC has found widespread examples of the mishandling of fees and expenses, possible abuse of valuation ...
A little-noted aspect of the first set of examinations of private equity shops by the U.S. Securities and Exchange Commission is that the agency in ...
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 ...
Word has filtered out that the first wave of examinations of buyout firms by the U.S. Securities and Exchange Commission has not exactly gone swimmingly. ...
The SEC doesn't tell you how you must analyze your firm's risks, but examiners surely would notice if you don't do the job at all ...
The SEC is investigating whether private equity fund advisers are illegally charging fees that are not disclosed to investors, the agency’s top enforcement chief said. ...
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