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SEC Examinations
Scott Kraemer of the Aztec Group describes the many ways in which external fund administrators can add value to their clients.
As the NAV finance market continues to grow, it is attracting increasing attention – and not all of it positive.
Regulators in the US and Europe have different priorities when it comes to NAV loans and subscription lines.
The Biden administration wants to rework American society, and sees fund managers as a problem to be solved.
Study guide promises closer looks at marketing rule, valuations
Regulators are focused on prior deficiencies, discipline, leadership changes and ‘market stresses.'
The commission wants to see private equity firms have robust controls to prevent the misuse of MNPI.