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Securities and Exchange Commission (SEC) › Private Equity Firms › Compliance

Paul Hastings LLP

SEC Provides Updated Guidance Reducing Burden for Rule 506(c) Verification Requirement

Paul Hastings LLP on

On March 12, 2025, the Staff of the SEC Division of Corporation Finance (the Staff) provided guidance in response to a letter requesting interpretive guidance (the No-Action Letter) to clarify the verification requirement of...more

Proskauer - The Capital Commitment

Key Steps for Fund Managers to Avoid Scrutiny Under the SEC’s Pay-to-Play Rule

Proskauer - The Capital Commitment on

The SEC’s recent settlement involving a “pay-to-play” rule violation by a private equity firm is a timely reminder for fund managers, especially with the November elections approaching. As a refresher, Rule 206(4)-5 of...more

Pillsbury Winthrop Shaw Pittman LLP

Private Funds Litigation/Regulatory Year in Review and 2020 Outlook

Pillsbury Winthrop Shaw Pittman LLP on

TAKEAWAYS - SEC scrutiny of private funds underscores the importance of remaining vigilant, including updating and improving compliance infrastructure and evaluating internal policies and procedures. - Private funds...more

The Volkov Law Group

Private Equity and the Och-Ziff Enforcement Action

The Volkov Law Group on

Since 2010, the Justice Department and the SEC have been “investigating” a number of private equity and hedge funds for FCPA violations. The launch of the inquiries was a big deal with lots of fanfare and focus on private...more

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