SEC

The agency levied $4.3bn in penalties in fiscal year 2019 and brought 191 cases against investment advisors and investment companies, a nearly 77% increase on the previous fiscal year.

Private equity has had to manage political and regulatory pressures, as technology becomes a preoccupation for CFOs.

PE CFOs still netting more compensation than VC peers; SEC’s Jay Clayton talks about upcoming changes to whistleblower rules.

We talk with executives at Abris Capital about the rapid growth of ESG-minded investors; GPB Capital says it was 'stunned' its former CCO was indicted by the SEC; and details on MBK Partners’ latest flagship fund.

GPB says it was 'stunned' by Michael Cohn's indictment.

A hello from the new editor. Plus, the CFO of Cloverlay on developing its ESG policy; getting caught in the revolving door; LPs’ surging need for liquidity; and an update on our directory of secondaries law firms.

The SEC enforcement division reached new heights this year, issuing $4.3 billion in penalties and disgorgements for the fiscal year 2019.

How ESG climbed the compliance agenda, patchy cybersecurity insurance and better valuations guidance were discussed at length at the San Francisco event.

The SEC charged AST Investment Services and PGIM Investments with failing to disclose conflicts of interest that cost funds $72m.

Lawyers from Groom Law Group explain the regulatory challenge to getting 401k investors into private funds and how it can be addressed.