SEC

Be aware that examiners may question your logic for placing clients in certain share classes

Laurence Allen of ACP Investment Group stands accused of defrauding investors and misappropriating more than $13m.

A pair of private investment advisors and a fund they controlled hid millions in side deals with private real estate funds even while urging their clients to invest in the funds, the SEC alleges.

If 'done incorrectly,' a compliance consultant’s work can inadvertently chart a detailed course for SEC enforcement staff to air a firm’s 'dirty laundry.'

The firm’s executives said on its Q4 earnings call that it has ‘several initiatives’ for retail and high-net-worth investors in development.

Forum panelists on how to do data the wrong way; SEC proposes further changes to Volcker; Blackstone and Apollo are swelling.

OCIE hopes these observations will spur organizations 'to reflect on their own cybersecurity practices.'

LPs are warming to sub lines, PE is under political fire and opening up to retail investors could take the ‘private’ out of 'private equity.’

Neuberger Berman COO says AML/KYC regs will, and should, come to the US private markets; A universal guide to valuations; State Street and iCapital join up to target HNWIs, family offices, and (eventually) retail

Retail money; big issues at the Forum; Partners slapped with lawsuit for alleged NDA breach