Home Regulators

regulators

The Boston-based private funds advisor will pay to settle SEC claims that it deceptively marketed one of its oil-and-gas investments.
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.
Globes
These three recent regulatory developments should be on private equity firms’ radars in the US, Europe and Asia.
Heightened scrutiny
The private equity giant has said its business could be damaged by allegations of improper conduct or press speculation – whether valid or not.
Be aware that examiners may question your logic for placing clients in certain share classes
Exclamation mark symbol on blue brick wall, warning, caution
Law firm Stephenson Harwood's Gabriel Boghossian and Sarah de Ste Croix outline three points of contention and practical steps to ensure effective LPAC operations.
'If you’re subject to the law, it doesn’t really matter if you’re in or outside of California.'
If 'done incorrectly,' a compliance consultant’s work can inadvertently chart a detailed course for SEC enforcement staff to air a firm’s 'dirty laundry.'
Richard Hope, who was promoted to the top position last week, said greater understanding of the 'black box' of private equity is crucial.
pfcfo
pfcfo

Copyright PEI Media

Not for publication, email or dissemination