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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.
Things an advisor should not do when it comes to advertising.
The industry remains poised on the cusp of inevitable reform, despite a generally positive view of the political landscape.
Of the 16 registered private funds that faced discipline this year, only one disclosed a pending SEC enforcement matter in advance.
Some of the most notable enforcement cases of the year show the SEC isn’t just looking to levy fines in instances where investors are caused harm, but anywhere it thinks there are insufficient systems to prevent investor harm.
The regulator gave the private funds industry its ‘playbook’, and now expects funds to execute. This year’s enforcement actions shows the SEC is taking a proactive approach to oversight.
Private equity remains firmly in regulators’ sights, despite marked improvements in transparency.
A 'framework' approach, summa of chairman Jay Clayton's SEC career, comes over Democratic objections.
Spreadsheet bank accounts accounting with calculator and magnifying glass.
Amendments to the SEC’s auditor independence rule make it easier for firms and their auditors to manage their relationships without violating SEC compliance.
In the magazine: Why the SEC is looking at you; Pandemic, leverage and the secondaries market; How to move staff on without the pain; Plus much more…
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