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. ...
One test to help you assess whether clients are being treated fairly is to examine performance dispersion. Run a report on performance of all client ...
Although the IRS last year expanded its definition of financial institutions to include investment advisers, most RIAs aren't expected to fall under the jurisdiction of ...
IA Watch has now obtained more SEC document request letters stemming from OCIE's new never-been-examined initiative (IA Watch, March 24, 2014). Advisers are receiving relatively ...
Sponsors who get caught improperly charging fees to portfolio companies, and who think the issue will stay between them and the US. Securities and Exchange ...
The SEC has put together a dedicated group to examine private equity and hedge funds, after the 2010 Dodd-Frank law required the funds to be ...