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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.
The regulator gave the private funds industry its ‘playbook’, and now expects funds to execute. This year’s enforcement actions shows the SEC is taking a proactive approach to oversight.
Private equity remains firmly in regulators’ sights, despite marked improvements in transparency.
There are countries that show including alternatives in DC pension plans is achievable, but not without pain points.
The investment firms’ defined contribution products for the US market include evergreen private equity funds mingled with liquid reserves.
For large asset managers, the attraction of retail investors could mean an expanded wealth management bench. Others aren’t so sure.
The ground being laid in the US to welcome retail investors into alternatives is rocky. Where mid-market managers fit is an open question.
The Office of Compliance Inspections and Examinations’ private funds risk alert is not only a warning to the industry, but also a sign of where enforcement is heading.
The Private Funds Bill 2020 changes how a private funds are classified in the jurisdiction but will only be an added compliance and disclosure step, say experts.
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