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US Supreme Court building, from Getty Images.
Narrow questions could have big impact on private fund managers.
After ‘absolute windfall,’ growing industry feels friction among investors, regulators and borrowers.
questionnaire with checkboxes, filling survey form online, answer questions of test
Reviews aren’t just to satisfy regulators, said panelists at Private Funds CFO’s Compliance Operations Forum.
Judge gavel, scales of justice and law books in court
Case could 'open the floodgates' to class-action suits, business groups claim
piggy bank broken with gavel
'Scary' case should worry small- and midsized managers, expert says.
The SEC cannot mandate standalone compliance departments, but the burdens of new rules may make it inevitable.
Regulators overstepped, six trade groups claim in new complaint filed in Fifth Circuit.
The SEC is looking to take action against the auditor of a fund managed by Laurence Allen, who is appealing a ruling against him in a fraud case.
The Biden Administration’s sanctions on Russian dictator Vladimir Putin and his cronies are (so far) narrow, but their implications for fund advisers are broad, experts tell Private Funds CFO.
SEC Chairman Gensler
Expert sees regulatory jujitsu in Chairman's moves.
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