News & Analysis as of

Private Equity Enforcement Securities and Exchange Commission (SEC)

Proskauer - The Capital Commitment

Top Ten Regulatory and Litigation Risks for Private Funds in 2025

Confession: writing this in May 2025, we cannot predict with confidence what the rest of 2025 will bring. The year has already seen four months of change and upheaval – political, regulatory, and economic. The new US...more

Proskauer - The Capital Commitment

Examining the SEC’s Slew of Recent Rules and Amendments

In a wave of SEC rulemaking this past year, representing a “new world order” event akin to Dodd-Frank, the SEC has provided itself with a fresh set of tools to increase regulatory and enforcement scrutiny on private funds....more

Proskauer Rose LLP

Q&A: What will be the biggest trend or issue impacting the European private funds market in 2023?

Proskauer Rose LLP on

Private equity is resilient and has been innovative in how it invests a large amount of dry powder. However, as we enter an uncertain market, what are the biggest factors that will impact how private markets raise and form...more

Foley & Lardner LLP

Lest We Forget, the SEC Cares About Private Equity

Foley & Lardner LLP on

During last week’s testimony before the Senate Committee on Banking, Housing, and Urban Affairs, the questioning of SEC Chair Gary Gensler focused on the expected topics of cryptocurrency regulation, ESG disclosures, and...more

Faegre Drinker Biddle & Reath LLP

SEC’s Director of Enforcement Unexpectedly Resigns Just Days after Taking the Job: Reminiscent of Previous Resignation by former...

Alex Oh, U.S. Securities and Exchange Commission (SEC) Chair Gary Gensler’s pick for the agency’s Director of the Division of Enforcement, unexpectedly resigned on Wednesday amid growing criticism for her decades-long work as...more

Fox Rothschild LLP

Private Equity/Hedge Funds Have Not Been Lucky With The SEC Lately

Fox Rothschild LLP on

In 2 separate actions, the SEC came down very hard on private equity/hedge funds regarding both disclosure and operational issues. In the first action, a firm settled for $1 million because it allegedly mischaracterized...more

Proskauer - Corporate Defense and Disputes

SEC Increases Focus on Private Equity Enforcement

Yesterday, SEC Director of Enforcement Andrew Ceresney gave a keynote address on Private Equity Enforcement.  In his remarks, Ceresney reiterated the SEC’s view that private equity is and will be a key enforcement area, and...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review

EBA Updates Single Rulebook Q&As - On October 17, the European Banking Authority (EBA) updated its Q&As on the single rulebook, publishing two new answers to questions relating to supervisory reporting and credit risk....more

King & Spalding

Three Disclosure Areas of Focus for Private Equity Firms Given Increased SEC Oversight

King & Spalding on

The private equity space is an area of increased scrutiny for the SEC. The SEC’s Office of Compliance Inspections and Examinations (OCIE) earlier this year announced its intentions to examine a significant percentage of never...more

Carlton Fields

Expect Focus - Catching The Next Wave, Regulatory and Litigation Developments - Volume II, Spring 2014

Carlton Fields on

In This Issue: - IN THE SPOTLIGHT ..Private Equity: The Next Wave of SEC Enforcement Actions? - LIFE INSURANCE ..How to Fight a STOLI Scheme: Court Rulings Offer Clues ..STOA Schemes Face...more

Ballard Spahr LLP

SEC Announces First Investment Adviser ‘Pay-to-Play’ Enforcement Action

Ballard Spahr LLP on

The U.S. Securities and Exchange Commission (SEC) announced its first enforcement action under "pay-to-play" rules for investment advisers since those rules were adopted nearly four years ago. TL Ventures Inc., a...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Concerns Noted During Private Equity Adviser Exams - Routine examinations by the SEC at advisory firms who manage the assets of private equity funds have uncovered some serious concerns about the way such advisers...more

Troutman Pepper

Securities And Exchange Commission Creates New Private Fund Unit Dedicated To Examination Of Private Equity And Hedge Funds

Troutman Pepper on

On April 7, 2014, it was announced that the United States Securities and Exchange Commission (SEC) has created a new private fund unit dedicated to the examination of private equity and hedge funds....more

The Volkov Law Group

The Financial Industry – Life Is Getting Tough

The Volkov Law Group on

Financial institutions, investment banks, private equity firms and hedge funds are having a rough time. Things are just not going well for them. While the economic outlook is turning positive, the enforcement atmosphere is...more

Orrick - Finance 20/20

SEC Announces Examination Priorities for 2014

Orrick - Finance 20/20 on

On January 9, the SEC announced its examination priorities for 2014, which cover a wide range of issues at financial institutions, including investment advisers and investment companies, broker-dealers, clearing agencies,...more

Skadden, Arps, Slate, Meagher & Flom LLP

"The SEC’s Private Equity Enforcement Concerns"

On January 23, 2013, Bruce Karpati, Chief of the Asset Management Unit (the “AMU”) of the Enforcement Division of the Securities and Exchange Commission, addressed the Private Equity International Conference in New York. Mr....more

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