SEC

CVC Capital Partners' chief compliance officer, Raju Hussain, provides tips on how to get through the exam process.

The regulator will be monitoring firms that manage both mutual funds and private funds to check for allocation conflicts. PE firms should take note.

The Enforcement Division has lost 10 percent of its staff over a two-year period.

Todd Hitt faces up to 20 years in prison on charges of misappropriating millions of dollars in investor funds to support an 'extravagant lifestyle' and make 'Ponzi-like' payments.

Christopher Hetner, a senior advisor to the agency’s chairman, has worked to strengthen cyber incident response planning and threat intelligence capabilities.

The secondaries market has come a long way; best practice around managing conflicts of interest has some way to go.

The Trump-appointee fills a position vacated by Michael Piwowar in July.

The SEC alleges the firm withheld information on an updated net asset value for stakes in its Fund III before a sale.

More than $3.3m was allegedly raised using boiler room tactics such as cold calling, with promises of as much as 24% annual investment returns.

The regulatory agency is seeking comment on proposals to ease restrictions that prohibit banks from investing in private equity funds.