Private Equity

This proceeding involved breaches of fiduciary duty and materially misleading statements and omissions by CEC, an investment adviser formerly registered with the Commission, and its founder, ...

Hedge fund advisers are having some advertising and marketing compliance issues and 2015 will see SEC examiners focus on retiring investors. These nuggets were among ...

The fallout from the 2008 collapse of Lehman Brothers continues. This time the cost is $15 million—the penalty Barclays Capital ($12.9B in AUM) will pay ...

It is no longer the golden age for deal and monitoring fees.

Hedge fund advisers lured by rapid growth in the more than $300 billion alternative mutual funds market are increasingly becoming involved with the funds either ...

The SEC is 90% toward tackling its mandated Dodd-Frank rulemaking. In recent testimony before the Senate Banking Committee, Chair Mary Jo White noted that Dodd-Frank ...

Demonstrating how portfolio company problems can quickly become sponsor problems, Desmond “Des” Hague, the Centerplate Inc CEO caught on tape kicking a one-year-old dog in his care, resigned ...

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 ...

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 ...