Compliance

'We are concerned about misaligned incentives,' group says.

SEC’s expanded exam intensifies focus on fees, expenses, audits, noisy exits and new investors.

The SEC is exploring potential rulemaking around GPs’ disclosure of fees, expenses and conflicts, the chairman said last month.

A first-of-its-kind insider trading case against a pharma executive who bought shares in a rival firm is a whiff of grapeshot over the heads of private funds’ compliance teams, experts say.

States want beneficial owners on Form D.

'A lot of fees and potential conflicts inherent,' Chairman says

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

Unproven theory may make firms hostage to their own P&Ps, side agreements.

Private equity fund advisers welcoming foreign investors who can potentially exercise certain control in buyout deals involving portfolio companies may well spur a filing.

Regulators and investors demand 'horsepower' behind compliance regimes for smaller firms