SEC

OCIE’s most recent risk alert is about client data: find out what compliance issues they found and why private equity firms should pay attention.

Tom Angell, practice leader of WithumSmith+Brown’s Financial Services Group, outlines the AICPA’s new valuation guide and how managers can keep LPs and a vigilant SEC happy by mitigating financial reporting risk.

A relatively small settlement with the SEC points to a much bigger issue of note for PE firms.

Disclosure, the role of the LPAC and status quo options may make some GP-led restructurings unaligned with the industry body's guidelines, according to Cleary Gottlieb.

Compliance issues around texting still exist in the private equity industry. How should firms handle this intricate topic and what should they expect in the future?

Out of 80 investors surveyed in late 2018, 69% had seen reduced fiduciary duties in LPAs.

Chief financial officers are in a unique position to spot vulnerabilities in their firm’s cybersecurity armor and weed them out.

There are no signs President Trump and Congress are closing in on an agreement over the budget to resume work, and the shutdown comes at a time when the stock and bond markets have experienced volatility under the specter of rising interest rates.

The settlement was the result of an SEC examination that started in December 2016.

The Volcker Rule forbids a bank or investment advisor from sharing the same name or a variation of the same name with a private equity fund that it creates.