SEC

The issue is less about what you charge, and more about who you tell.

The three firms, without denying or admitting the SEC's findings, will make settlements totaling $720,000.

The funds failed to disclose to all LPs the receipt of accelerated fees following the early termination of portfolio company agreements, according to the regulator.

The SEC is on a mission to increase its number of exams, so it’s more important than ever for private fund advisors to be prepared.

A compliance officer relives his firm’s SEC examination, while Saw Mill Capital’s chief financial officer explains her plan.

The court’s decision stems from appeal by a former investment advisor accused of deceptive practices and could upend previous judgments.

An industry executive says the regulator wants to ensure that expenses aren’t excessive and investors aren’t billed inappropriately.

The agency's Strategic Plan for 2018-22 addresses the transformations in capital markets and seeks to update regulation.

Each advisor was ordered to pay a $75,000 fine but none admitted any wrongdoing.

Private real estate’s finance and operating officers face myriad challenges, but many have a common solution, the audience heard at sister publication PERE's CFO/COO Forum.