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Narrow questions could have big impact on private fund managers.
After ‘absolute windfall,’ growing industry feels friction among investors, regulators and borrowers.
Reviews aren’t just to satisfy regulators, said panelists at Private Funds CFO’s Compliance Operations Forum.
Case could 'open the floodgates' to class-action suits, business groups claim
'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.
Expert sees regulatory jujitsu in Chairman's moves.