The three firms, without denying or admitting the SEC's findings, will make settlements totaling $720,000.
Private equity firms need to keep in check with authorities for anti-competitive measures when making acquisition targets and combining them with existing portfolio companies.
The funds failed to disclose to all LPs the receipt of accelerated fees following the early termination of portfolio company agreements, according to the regulator.
Real estate fund managers expect to increase outsourcing of fund adminstration in 2018-19, and see regulation as most likely to affect their business over the next three years.
Potential regulatory disruption is driving managers towards the fund domiciles they know.
The SEC is on a mission to increase its number of exams, so it’s more important than ever for private fund advisors to be prepared.
A compliance officer relives his firm’s SEC examination, while Saw Mill Capital’s chief financial officer explains her plan.
With the rise of the anti-sexual-harassment movement, industry stakeholders need to think differently as they mitigate reputational risk.
The court’s decision stems from appeal by a former investment advisor accused of deceptive practices and could upend previous judgments.
The agency's Strategic Plan for 2018-22 addresses the transformations in capital markets and seeks to update regulation.