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The Securities and Exchange Commission generally gives firms two weeks’ notice ahead of an exam, but they are beginning to knock on the door much sooner. How can your firm make sure it is ready for inspection?
The role of a private equity firm CFO may start with finance and accounting, but it spreads much further than that, as Toby Mitchenall discovered when he sat down with a panel of senior executives and technical experts
Enforcement action from the SEC is falling. Is the agency becoming a soft-touch regulator?
The SEC has found numerous incidents of firms breaking its Advertising Rule; it has to stop.
We assess the agency’s priorities through the lens of recent cases.
Private fund managers have improved their cybersecurity policies, but they’ve still a way to go to satisfy the regulators. Why is it proving so hard to be compliant?
Language in the Financial CHOICE Act points to relief for private equity firms from certain requirements, but does it move the needle, asks Jeanette Turner, managing director, chief regulatory attorney, Advise Technologies.
A hack can be detrimental to a business’s valuation if it is going through a sale process, one expert said at the AM&AA conference.

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