Home SEC

SEC

SEC enforcement director Gurbir Grewal is promising to get tough on private equity, hedge funds and venture capital funds.
'We are concerned about misaligned incentives,' group says.
SEC’s expanded exam intensifies focus on fees, expenses, audits, noisy exits and new investors.
The SEC is exploring potential rulemaking around GPs’ disclosure of fees, expenses and conflicts, the chairman said last month.
A first-of-its-kind insider trading case against a pharma executive who bought shares in a rival firm is a whiff of grapeshot over the heads of private funds’ compliance teams, experts say.
Retail investors
The commission's Asset Management Advisory Committee has issued a series of recommendations that would help open up the market even wider to retail investors.
States want beneficial owners on Form D.
'A lot of fees and potential conflicts inherent,' Chairman says
The SEC under president Biden is expected to take a more aggressive role in regulating and punishing bad practices across corporate America, including private equity.
Unproven theory may make firms hostage to their own P&Ps, side agreements.
pfcfo
pfcfo

Copyright PEI Media

Not for publication, email or dissemination