Private Equity

A little-noted aspect of the first set of examinations of private equity shops by the U.S. Securities and Exchange Commission is that the agency in ...

There's a really easy tipoff to examiners that a firm's compliance operation may not be up to snuff. When the firm's asked what it considers ...

Word has filtered out that the first wave of examinations of buyout firms by the U.S. Securities and Exchange Commission has not exactly gone swimmingly. ...

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. ...

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 ...

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 ...

IA Watch has obtained four SEC document request letters from recent exams of investment advisers. Most are "presence" or limited scope exams that clearly reveal ...

A late February article by Bloomberg News said that regulators were considering an exemption for private equity shops from a requirement that they would have ...