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Dominic Diongson

Preparing for – and living through – an SEC exam

A compliance officer relives his firm’s SEC examination, while Saw Mill Capital’s chief financial officer explains her plan.

Supreme Court ruling nixes SEC’s administrative law judges

The court’s decision stems from appeal by a former investment advisor accused of deceptive practices and could upend previous judgments.

Keep records of expenses for SEC scrutiny

An industry executive says the regulator wants to ensure that expenses aren’t excessive and investors aren’t billed inappropriately.

SEC drafts goals, including changes to ‘outdated’ rules

The agency's Strategic Plan for 2018-22 addresses the transformations in capital markets and seeks to update regulation.

SEC charges 13 private fund advisors for failure to file

Each advisor was ordered to pay a $75,000 fine but none admitted any wrongdoing.

Blackstone seeks compelling reason for C-corp switch

The firm will not rush to make the corporate switch, watching closely how peers KKR and Ares fare.

Why the switch to C-corp doesn’t add up

Food for thought for those firms mulling switching from partnership to corporation.

ILPA pushes SEC on transparency of fees and expenses

The LP group wants to see some changes, but at the same time retain certain rules, such as disclosure of AUM for large PE firms.

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