Some of the most notable enforcement cases of the year show the SEC isn’t just looking to levy fines in instances where investors are caused harm, but anywhere it thinks there are insufficient systems to prevent investor harm.
The regulator gave the private funds industry its ‘playbook’, and now expects funds to execute. This year’s enforcement actions shows the SEC is taking a proactive approach to oversight.
Private equity remains firmly in regulators’ sights, despite marked improvements in transparency.
A 'framework' approach, summa of chairman Jay Clayton's SEC career, comes over Democratic objections.
In the magazine: Why the SEC is looking at you; Pandemic, leverage and the secondaries market; How to move staff on without the pain; Plus much more…
New disclosure and reporting requirements are set to take shape in March 2021 and will have a range of impacts on US PE managers with even minor operations within the bloc.
It's been a chore to lure accountants in throughout this year of the pandemic.
The OECD initiative ups costs significantly and may point towards authorities requiring funds to collect and divulge tax information from LPs, said panelists at PEI’s CFOs & COOs Forum Europe.
There are countries that show including alternatives in DC pension plans is achievable, but not without pain points.
The investment firms’ defined contribution products for the US market include evergreen private equity funds mingled with liquid reserves.