Private Equity

Aaron Schlaphoff, who recently joined Kirkland & Ellis as a partner after working at the SEC, in an interview with IA Watch’s sister publication Buyouts, flagged compliance issues for ...

It almost makes too much sense. If a private equity fund adviser manages a portfolio that includes companies that produce a product, the adviser’s staff ...

There’s no disputing that how private equity fund advisers handle fees and expenses occupies a top interest among SEC examiners. Consider additional avenues to disclose ...

It’s not a revelation that private equity fund advisers hired CCOs after Dodd-Frank took effect in 2010. The law required larger PE firms to register ...

Shamoil Shipchandler, recently named regional director of the Securities and Exchange Commission based in Texas, has an interesting philosophy when it comes to how GPs ...

Private equity firms exempt from registering with the SEC can rest easy: The SEC has not suddenly decided to examine you. A recent speech by Marc ...

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 ...

JHP did not adequately disclose to the advisory boards of the affected Funds the potential conflicts of interest created by the 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 ...