The action may have significant implications for PE advisers performing brokerage services; highlights SEC’s focus on advisers receiving transaction-based compensation.
On June 1, 2016, the Securities and Exchange...more
6/29/2016
/ Broker-Dealer ,
Investment Advisers Act of 1940 ,
Management Fees ,
Neither Admit Nor Deny Settlements ,
Offsets ,
Portfolio Companies ,
Private Equity ,
Private Funds ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Transaction-Based Compensation
Summary of private equity firms’ compliance obligations, discussion of notable developments in 2015 and outlook for 2016.
US federal laws and regulations, as well as the rules of self-regulatory organizations (SROs),...more
2/9/2016
/ Anti-Money Laundering ,
Audits ,
CFTC ,
Chief Compliance Officers ,
Conflicts of Interest ,
Cybersecurity ,
FinCEN ,
Fund Managers ,
IRS ,
National Futures Association ,
Popular ,
Private Equity ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
U.S. Treasury ,
Volcker Rule ,
Year-End Compliance Checklist
A summary of a private equity firm’s compliance obligations, a discussion of notable developments in 2014 and highlights of the SEC’s examination priorities for 2015.
US federal laws and regulations, as well as the...more
2/26/2015
/ Chief Compliance Officers ,
Compliance ,
Dodd-Frank ,
Fund Managers ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
Private Equity ,
Private Equity Funds ,
Regulation D ,
Securities and Exchange Commission (SEC)