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Barney Frank, the former chairman of the House Financial Services Committee, took the forum by surprise with his compliance comments.
At 2013’s forum, SEC enforcement chief Bruce Karpati predicted an uptick in enforcement cases as the regulator looked to better understand the unfamiliar world of private equity.
The SEC lacks the manpower and expertise to monitor private equity firms, former SEC chairman Harvey Pitt told delegates at PEI’s CFOs and COOs Forum in 2011.
Examiners are digging in on outsource contracts and firm oversight, even while a new rule – which the SEC says will harm competition – is pending.
'Technical error' swallowed comment on 11 SEC, nine SRO proposals, regulators say.
The SEC is ramping up its scrutiny of fees and expenses. Is the private markets industry prepared for what may come next?
If new SEC proposals come into force, it could create a punishing SME funding gap.
The debate around who pays dead deal fees has entered a new phase.
Our biennial survey shines a light on fees and expenses as the SEC seeks to tighten its grip.
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