An adviser CCO tells of a recent SEC exam that deeply probed the adviser’s due diligence into its pricing services used for establishing valuations.
Case could 'open the floodgates' to class-action suits, business groups claim
'Scary' case should worry small- and midsized managers, expert says.
LPs are still tepid on the final rules, but still want the SEC as a referee.
Agency disputes trade groups' standing, claims Congress authorized sweeping changes to protect ordinary Americans.
Washington weighs (narrow) changes to allow projections in private placement memos.
Narrower review may squeeze private equity managers.
Report raises curtain on pending changes to private funds’ Reg D regime.
Experts see emerging field, metrics as enterprise-wide risk/opportunity.
‘When there’s a cyclical decline, certain risks pop up time and again… The SEC knows about them, too…’
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