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Registered investment advisors are struggling with ESG disclosures and their policies and procedures, the SEC said in a new risk alert.
The Foundry Capital Group case checks all the boxes for the SEC's 2021 exam priorities.
Michael Cohn will spend the next nine months under house arrest after he admitted to creeping into the Commission's database.
This hour-long webinar features industry expert discussion on why firms need a robust compliance program, and what penalties they face for non-compliance.
'The task force will also analyze disclosure and compliance issues relating to investment advisers’ and funds’ ESG strategies'
The SEC under President Biden is expected to take a more aggressive role in regulating and punishing bad practices across corporate American, including private equity.
Sharing deficiency letters is one aspect of a bill introduced in 2019 called Investment Adviser Alignment Act that has been backed by major institutional investors.
The sword of Damocles has dropped on the principals behind GPB Capital. Federal prosecutors have indicted, the SEC is suing.
PFCFO cover art FebMar21
New guidelines clear away a web of no-action letters and provide new guidance, possibly opening up the opportunity for private funds to innovate, but coming with their own complexities.
Senior editors from across PEI Media’s titles discuss what they’ll have their eyes on in the coming months, from taxes and SEC oversight to the possibility of the industry being thrown into the public spotlight.

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