News & Analysis

SEC findings: fees and expenses

In the first of a four-part video series, Tom Angell, practice leader, private equity and venture capital practice at WithumSmith&Brown discusses the SEC’s crackdown on fees and expenses.

Annabelle Ju -

31 March 2017

Ambiguities and a lack of transparency on fee and expenses allocations led to increased scrutiny of private equity firms by the Securities and Exchange Commission in 2012.

In this video, Tom Angell, practice leader, private equity and venture capital practice at WithumSmith+Brown, discusses some of the findings from the SEC’s private equity presence exams.

Next week: Tom Angell discusses some of the enforcement action taken by the SEC against private equity firms, and the lessons that can be learnt.

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