Private Equity

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 ...

It's not every day that an enforcement action against an investment adviser includes news that the CCO resigned over questionable actions by the firm's owner. ...

This private equity adviser and its CEO were charged by the SEC for alleged violations, including with how expenses were handled.

In April of last year, David Blass, chief counsel for the Division of Trading and Markets at the U.S. Securities and Exchange Commission, gave a ...

This page was updated in 2015. To see the SEC's actual site, which may contained more updated FAQs, visit http://www.sec.gov/divisions/investment/pfrd/pfrdfaq.shtml.