Private Equity

Include in your definition of personally identifiable information any “security code, access code or password that would permit access to an individual’s financial account.”   ...

This report from 2017 is reproduced here with permission of the Association for Corporate Growth. This 35-page report covers hot compliance issues along with recommended ...

The global financial crisis continues to swallow up its fair share of industry players. For private equity adviser Scott Landress, the trouble started when UK ...

These proceedings arise out of the failure by a registered investment adviser and its principals to disclose potential conflicts of interest to its private equity ...

The recipe’s as simple as baking Christmas cookies: do what you’ve promised investors in writing that you’ll do.   Violating this simple rule cost private ...

As a result of NSR’s failure to disclose the Co-investments before they were made and to obtain the requisite consent for the Co-investments from the ...

Richer detail, more examples and even longer lists illustrate how private equity fund advisers have reacted to the SEC’s intense interest in disclosures around fees ...

The SEC has reached a new single year high in the number of enforcement actions brought in a fiscal year.  The Commission announced Oct. 11 ...

Private equity’s lobbying arm scored an important victory earlier this month when the U.S. House of Representatives passed the Investment Advisers Modernization Act of 2016, ...

Private equity firms continue to strengthen disclosure to limited partners about co-investment programs as the SEC maintains its emphasis on transparency, according to a lawyer who works with GPs. ...