Nicholas Donato
Private equity firms managing an employees' securities company should take heed of a SEC warning to review certain compliance protocols.
Knocking on more doors of registered investment advisors is ‘essential’ for investor protection, SEC chairman Mary Jo White told lawmakers on Thursday.
More sponsors may begin drafting terms that allow them some time to find alternative sources of funding should a lender fail to provide financing when closing a deal.
The head of the SEC’s national exam program, Carlo di Florio, has revealed plans to leave the agency just one day after addressing delegates at the PEI Private Fund Compliance Forum in New York.
Regularly scanning employees’ emails to detect rule violations is a sensitive, albeit necessary, exercise for compliance officers, delegates heard at the PEI Private Fund Compliance Forum in New York.
PE Manager tracks private equity lawyer moves: Boston headquartered law firm Ropes & Gray adds four names to its global roster of corporate lawyers; Shearman & Sterling poaches veteran private equity lawyer Jeremy Dickens; and more.
A fund manager allegedly making wild claims about the JOBS Act’s ability to help generate guaranteed investor returns has been charged with fraud by SEC officials.
The US accounting standard setter has provided firms that face ‘imminent’ liquidation a standard set of guidelines to use when preparing financial statements.
State regulators have ramped up their scrutiny of private equity firms that target insurance companies.
US accounting standard-setters have issued a second invitation to comment on a proposed framework for private company accounting rules.