Private Equity

Last month we warned private fund advisers that the SEC might question whether you should register as a broker-dealer (IA Watch, March 18, 2013). Now ...

It's been reported that SEC examiners are asking tough questions about expenses charged to investors by hedge and private equity fund advisers. Sources tells us ...

Two enforcement actions announced last week by the SEC highlight the risks private equity advisers face if their compliance policies and procedures aren't suitable to ...

Private-equity firms have generally been conservative when it comes to valuing their portfolio investments—with the exception, no big surprise, of when they’re in the market ...

Insider trading. Misappropriated money. Money raised from later investors used to pay interest to early investors. None of those things has happened in the private-equity ...

Mark March 1 on your calendar if your firm manages a large hedge fund and April 30 if it operates a sizable private equity fund. ...

Not since OCIE Chief Carlo di Florio raised issues about private equity last year (IA Watch, May 14, 2012) have these advisers received a clearer ...

Joseph Massoud, the founder of buyout firm Compass Group Management settled insider trading charges the Securities and Exchange Commission had brought against him.

Attorneys and fund marketers predict that buyout shops, particularly those that market to wealthy investors, will take advantage of a proposed rule allowing them to ...

In speeches and a sweep letter, the SEC demonstrates it is moving determinedly toward eyeing private equity fund advisers for signs that clients are being ...