Private Equity

It’s not a revelation that private equity fund advisers hired CCOs after Dodd-Frank took effect in 2010. The law required larger PE firms to register ...

Shamoil Shipchandler, recently named regional director of the Securities and Exchange Commission based in Texas, has an interesting philosophy when it comes to how GPs ...

Private equity firms exempt from registering with the SEC can rest easy: The SEC has not suddenly decided to examine you. A recent speech by Marc ...

A San Francisco-based private equity fund adviser has been charged with negligent breaches of fiduciary duty for disclosure failures tied to undisclosed loans and cross-over ...

JHP did not adequately disclose to the advisory boards of the affected Funds the potential conflicts of interest created by the undisclosed loans and cross-over ...

The SEC’s bringing first-of-its-kind, cutting edge cases is changing behavior, Chair Mary Jo White told the audience Nov. 10 at SIFMA’s annual conference in Washington, D.C. ...

Cherokee Investment Partners racked up $171,232 in expenses when it registered as an investment adviser with the SEC. The Raleigh, N.C.-based firm paid another $239,362 ...

The SEC has brought its first-ever enforcement action against a private equity adviser and four firm executives for failing to disclose conflicts of interest relating ...

Although the Funds’ limited partnership agreements disclosed that the Funds would be charged for expenses that in the good faith judgment of the general partner ...

Fenway Consulting ultimately received an aggregate of $5.74 million from the Portfolio Companies during the Relevant Period. However, in contrast to the monitoring fees paid pursuant ...