Hardly a week goes by now without the SEC bringing another enforcement action against a private fund adviser for issues tied to fees and expenses ...
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 ...
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 ...
In an unusually quick move, SEC commissioners Oct. 30 issued their opinion in a GIPS advertising case involving an investment advisory firm five days after ...
No regulatory issue blazes hotter for private equity fund advisers than fees and expenses (IA Watch, Oct. 7, 2015). Now a group of institutional investors ...
That recent SEC settlement with Blackstone over uneven legal fees features two parties (IA Watch, Oct. 7, 2015). The other was an unidentified law firm. ...
Addressing a conference in New York Oct. 16, SEC Chair Mary Jo White urged private fund advisers to pay attention to cybersecurity. She also pointed ...
Now that we’ve shared best practices related to the use of coinvestment pools, here are examples of how various private equity fund advisers disclose them ...