Private Equity

The founder of an Orange County private fund adviser bungled his firm’s entry into the industry, its custody of client funds, its compliance program, its ...

State securities regulators opened 196 investigations of exempt private fund advisers last year, bringing 67 new enforcement cases, NASAA says in its latest annual report. ...

Sister title PERE’s October issue is out. It’s all about diversity, equity and inclusion. It offers 11 crucial questions that every private equity real estate ...

Prepared testimony before the House Financial Services Committee. SEC Chair Gary Gensler   Oct. 5, 2021 Good afternoon, Chairwoman Waters, Ranking Member McHenry, and members ...

'We are concerned about misaligned incentives,' group says

Advisers see disturbing signs of regulatory innovation

Citadel Securities is muscling up against accusations that the quant trading giant conspired with online broker-dealer Robinhood to squelch a populist investor raid on GameStop ...

Cases reveal a brokerage system all but begging to be exploited.

SEC Chairman Gary Gensler has turned to a University of Colorado law professor to help run the Division of Corporation Finance—and he may have dropped ...

In a new settlement order, the SEC says private fund adviser Soteira Capital and its principals, Derek Charles Clark and Laura Santos overcharged performance fees, ...