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PF Rules & Regulatory Actions

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The adviser failed to distribute required audited financials
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The audits were completed pursuant to the International Standards on Auditing, not U.S. GAAS requirements; and the auditor was not registered with the PCAOB, resulting ...
The adviser purported to rely on the exception to the qualified custodian requirement but did not obtain an audit of each of the Funds and ...
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The firm also did not properly describe the status of its fund’s financial statement audits when filing its Forms ADV and did not update certain ...
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The adviser failed to maintain securities of certain private equity funds that it advised with a qualified custodian
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He failed to take necessary steps to do so despite being on notice of the rule’s requirements and was aware of the ongoing failures in ...
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The SEC adopts Form PF amendments to require large private equity fund advisers to provide additional information to the SEC about the private equity funds ...
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The Rebalancing Trades were executed at prices proposed by Anthony Melchiorre and agreed to by the Rebalancing Brokers, but not at prices that were independently ...
Enforcement Division relying on 'overly broad interpretation,' groups warn
"Washington, DC, USA - October 4, 2012: The United States Securities and Exchange headquarters building located on F Street in Washington, DC. A security guard and other people are present in this photo. The U.S. Securities and Exchange Commission hold primary responsibility for enforcing federal securities laws."
This is a new SEC FAQ, released in January 2023, related to its SEC ad rule

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