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The Office of Compliance Inspections and Examinations issued a warning about increasing cyber risks to registrants with the Securities and Exchange Commission, and outlined six areas they should review.
Less than one-fifth of private fund compliance officers have a single title, a review of SEC disclosure data finds.
'Less impetus on the manager to protect the investor,' ILPA warns.
Co-investments have been a hot topic in private equity as more limited partners seek ways to build direct exposure alongside their trusted GPs in investments.
The SEC office’s risk alert confirms what recent trends suggested; eVestment announces tool to help inundated CFOs.
SEC regulators found conflicts of interests, fee problems and risks of material non-public information in private equity, hedge and venture capital funds.
Toni Caiazzo Neff says she lost her job at New York-based Purshe, Kaplan Sterling because she spoke out against its decision to sell GPB Capital at 8% commissions, having rejected the fund twice before.
In March, OCIE Director Pete Driscoll promised private fund advisers that the SEC would this year issue a risk alert directed at them. “That’s something we’ve been getting a lot of asks from compliance officers who are private fund advisers that, ‘Hey, we haven’t seen a risk alert,’” Driscoll told an audience at the Investment […]
'PE firms that place employees on the boards of public companies bear heightened risks that they will obtain nonpublic material information through their representative occupying dual roles,' warned an SEC official.
The Boston-based private funds advisor will pay to settle SEC claims that it deceptively marketed one of its oil-and-gas investments.
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