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Of the 16 registered private funds that faced discipline this year, only one disclosed a pending SEC enforcement matter in advance.
Some of the most notable enforcement cases of the year show the SEC isn’t just looking to levy fines in instances where investors are caused harm, but anywhere it thinks there are insufficient systems to prevent investor harm.
Private equity remains firmly in regulators’ sights, despite marked improvements in transparency.
Under a 'blue wave' scenario, progressive politicians like senator Elizabeth Warren would have more power to target aspects of the financial system they have consistently criticized, including private equity.
It's been a chore to lure accountants in throughout this year of the pandemic.
CFIUS’s 2019 annual report details an emboldened committee with upgraded resources and a strong focus on enforcement.
Covid-19 could spark a fresh wave of outsourcing that sees little but fundraising and investment left in house.
Monomy Capital Management will settle SEC claims it hid fees from investors, but the firm's cooperation spared it an even worse fate.
A private fund isn't a personal fund and the SEC has driven the point home by barring a Maryland man for phony travel reimbursements and taking a seven-figure loan to cover a personal investment.
Private equity and hedge funds have until May 7 to return coroanvirus stimulus loans, the Trump administration has determined.
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