Continue Reading SEC Warns on Outsourced Chief Compliance Officers
Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE
Private Equity
Delaware Addresses Exclusive Representations, Integration and Exclusive Remedies Provisions
By Steve Quinlivan on
SEC Nabs Private Equity Sponsor for Conflicting Investments
By Steve Quinlivan on
“Recidivist” Custody Rule Violators Settle SEC Charges
By Steve Quinlivan on
SEC Charges Private Equity Sponsor for Failure to Disclose Conflicted Transactions
By Steve Quinlivan on
Get Ready for Crowdfunding
By David Jenson on
SEC Chair White Complains of Poor Hedge Fund and Private Equity Practices
By Steve Quinlivan on
SEC Begins Publishing Statistics on Hedge Funds and Private Equity Advisors
By Steve Quinlivan on
Portfolio Monitoring and Legal Fees Subject to SEC Enforcement Action Against Private Equity Group
By Steve Quinlivan on
FinCEN Proposes Extending Anti-Money Laundering Compliance Requirements to Investment Advisers
By Eric Mikkelson on