First Reserve agreed to reimburse its investors $12.7 million and pay a $5 million fine to settle a SEC investigation into various fee and expense ...
A recently released study from the International Organization of Securities Commissions characterizes cyber risk as a “unique, highly complex and rapidly evolving phenomenon” that requires ...
The U.S. Securities and Exchange Commission has reached at least $90 million in settlements with GPs since it started scrutinizing the industry in 2012. That amount is ...
The number of SEC examinations resulting in a referral to the Division of Enforcement has remained fairly constant over the past five years—falling in the ...
Igor Rozenblit, co-head of the SEC's private funds unit in the Office of Compliance Inspections and Examinations, said in a recent speech that the opacity and ...
In a bid to better assess the relationship between a hedge fund’s level of leverage and corresponding risk, the Financial Stability Oversight Council is moving ...
There aren’t many of you (the SEC estimates 28) but some investment advisers that advise at least one liquidity fund and manage at least $1 ...
An SEC official has some advice for GPs: Pay close attention to your waterfall calculations. In an April 6 keynote interview at PartnerConnect East in Boston, ...
An SEC official has some advice for GPs: Pay close attention to your waterfall calculations. SEC Examiner and Private Funds Unit Co-Head Jennifer Duggins ...
Marshall Sprung, co-chief of the SEC Division of Enforcement’s Asset Management Unit, will be leaving the Commission later this month. He has served as co-head ...