It has been more than a year since the U.S. Securities and Exchange Commission published final rules allowing sponsors to broadly advertise and promote their ...
A report released last month by the U.S. Securities and Exchange Commission provides statistics that size up the U.S. buyout industry, including that 7,004 buyout ...
Adopting a set of compliance policies and procedures that form your firm’s compliance manual makes up only half the battle. The true key is then ...
The private equity industry’s lobbying group met officials from the Office of the Comptroller of the Currency and the Federal Reserve in August to address ...
Because Dodd-Frank directed the SEC to produce an annual report on Form PF data, you now have insight into how OCIE plumbs the data for ...
They were the words that jolted the private equity industry. SEC official David Blass spoke in April 2013, warning private equity fund advisers that transaction-based ...
To the victor go the spoils. Only weeks after a federal jury acquittedNelson Obus and other defendants in a long-running SEC case claiming insider trading, ...
The fees and expenses charged by sponsors became a far bigger issue this year after an official of the U.S. Securities and Exchange said in ...
Six new FAQs from the SEC's Division of Corporation Finance may not spur greater use of general solicitation but they encourage firms to think for ...
A firm going through an SEC exam reports intense interest by examiners at what wrap fee sponsors are doing to monitor step-out trades by subadvisers. ...