Regulation

The agency levied $4.3bn in penalties in fiscal year 2019 and brought 191 cases against investment advisors and investment companies, a nearly 77% increase on the previous fiscal year.

Private equity has had to manage political and regulatory pressures, as technology becomes a preoccupation for CFOs.

Industry representatives largely dodged a feared thrashing in Tuesday's House Financial Services Committee hearing on private equity. But PE is shaping up to be a major battlefield in the presidential race.

Opinions differ on the long-term use of national private placement regimes as an alternative to the AIFMD passport.

Alter Domus’ Anita Lyse and Antonis Anastasiou discuss the merits of the third-party hosted AIFM platform, the solution many managers have adopted when establishing investment funds to be marketed to investors in the EU.

From management fees to tax disputes, here’s what we learned from the document.

Blackstone’s global head of compliance, Marshall Sprung, on striking the right balance between proactive and reactive.

The Securities and Exchange Commission's concept release on the harmonization of securities offering exemptions could prelude more Main Street access to private equity.

Three CFOs get honest about data privacy and tell us how they're dealing with increasing regulation.

A privacy lawyer explains what US firms often get wrong about the regulation.