SEC

This hour-long webinar features industry expert discussion on why firms need a robust compliance program, and what penalties they face for non-compliance.

'The task force will also analyze disclosure and compliance issues relating to investment advisers’ and funds’ ESG strategies'

The SEC under President Biden is expected to take a more aggressive role in regulating and punishing bad practices across corporate American, including private equity.

Sharing deficiency letters is one aspect of a bill introduced in 2019 called Investment Adviser Alignment Act that has been backed by major institutional investors.

The sword of Damocles has dropped on the principals behind GPB Capital. Federal prosecutors have indicted, the SEC is suing.

New guidelines clear away a web of no-action letters and provide new guidance, possibly opening up the opportunity for private funds to innovate, but coming with their own complexities.

Senior editors from across PEI Media’s titles discuss what they’ll have their eyes on in the coming months, from taxes and SEC oversight to the possibility of the industry being thrown into the public spotlight.

Things an advisor should not do when it comes to advertising.

The industry remains poised on the cusp of inevitable reform, despite a generally positive view of the political landscape.

Of the 16 registered private funds that faced discipline this year, only one disclosed a pending SEC enforcement matter in advance.