The SEC is investigating whether private equity fund advisers are illegally charging fees that are not disclosed to investors, the agency’s top enforcement chief said. ...
One test to help you assess whether clients are being treated fairly is to examine performance dispersion. Run a report on performance of all client ...
Although the IRS last year expanded its definition of financial institutions to include investment advisers, most RIAs aren't expected to fall under the jurisdiction of ...
IA Watch has now obtained more SEC document request letters stemming from OCIE's new never-been-examined initiative (IA Watch, March 24, 2014). Advisers are receiving relatively ...
Sponsors who get caught improperly charging fees to portfolio companies, and who think the issue will stay between them and the US. Securities and Exchange ...
The SEC has put together a dedicated group to examine private equity and hedge funds, after the 2010 Dodd-Frank law required the funds to be ...
It's a title you're seeing more often: chief risk officer. That's embossed on Fred Shane's business cards. He was the first person ever to carry ...
Sponsors and their limited partners aren’t sure what to make of the U.S. Securities and Exchange Commission’s plans, if any, on regulating co-investments.
The call conjured up a mystery reminiscent of a spy novel, and raised suspicions like a fingerprint left at a crime scene. A peer had ...
The year's underway and the work's pouring in. What's your secret to getting it all done?For many of your peers the solution comes down to ...