SEC Examinations

This is an SEC document request letter from an exam out of the San Francisco regional office begun in 2013.

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 ...

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. ...

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 ...

This is a copy of an SEC document request letter that went to a private equity fund adviser in late 2013. This comes from an ...

This is a copy of an SEC document request letter that went to a private fund adviser in 2013. This is a so-called “presence exam” ...

This letter, released by OCIE in 2014, was meant for firms that had never been examined. It details OCIE's initiative to visit some of these ...

OCIE has released its 2014 list of exam priorities, with five new areas examiners will be asking investment advisers about this year. These include whether ...

Prison time may well be in the future of two former portfolio managers after federal juries in New York brought separate convictions last week.Michael Steinberg ...