Home Regulators

regulators

SEC charges 13 private fund advisors for failure to file

Each advisor was ordered to pay a $75,000 fine but none admitted any wrongdoing.

SEC appoints new OCIE chief risk officer

SEC veteran James Reese had been serving as acting chief risk and strategy officer for the Office of Compliance Inspections and Examinations.

Regulation seen as pushing up costs for PE: survey

In Duff & Phelps' poll of 124 senior financial services executives, 95% said they expect regulations to bump up their costs this year.

Supreme Court case tests power of SEC judges

A loss for the regulator in Lucia v SEC would plunge dozens of cases into uncertainty and could put a halt to the SEC's sanctioning powers.

New SEC risk alert puts advisory industry ‘on notice’

The regulator's OCIE identified overbilling and other deficiencies in a risk alert that legal experts say is meant to send a signal to the industry.

AIMA calls for grandfathering provision in Brexit talks

A large number of potential issues face firms when the UK leaves the EU which could lead to chaos if not tackled.

US government sues PE firm for alleged kickback scheme

The case against buyout firm RLH and one of its portfolio companies may signal a 'significant development' in attempts to hold PE managers liable for portfolio company conduct, law firms say.

The impact of MiFID II

Following the application of MiFID II on January 3, John Young, financial regulatory counsel at Ropes & Gray, takes stock of the impact on EU private equity.

Former PE exec to face SEC fraud charges

A former partner at Hong Kong-based Summitview Capital Management faces charges of insider trading.

UK to drop outside top 5 in PE country attractiveness after Brexit

The UK will lose its status as the second most attractive destination for private equity investors after Brexit, says a business school report.

Copyright PEI Media

Not for publication, email or dissemination