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The problem with accelerated monitoring fees

The issue is less about what you charge, and more about who you tell.

Oaktree, EnCap, Sofinnova under fire for campaign contributions

The three firms, without denying or admitting the SEC's findings, will make settlements totaling $720,000.

Thomas H Lee funds to pay $6.5m for securities violations

The funds failed to disclose to all LPs the receipt of accelerated fees following the early termination of portfolio company agreements, according to the regulator.

How to cope with an SEC exam

The SEC is on a mission to increase its number of exams, so it’s more important than ever for private fund advisors to be prepared.

Preparing for – and living through – an SEC exam

A compliance officer relives his firm’s SEC examination, while Saw Mill Capital’s chief financial officer explains her plan.

Supreme Court ruling nixes SEC’s administrative law judges

The court’s decision stems from appeal by a former investment advisor accused of deceptive practices and could upend previous judgments.

Keep records of expenses for SEC scrutiny

An industry executive says the regulator wants to ensure that expenses aren’t excessive and investors aren’t billed inappropriately.

SEC drafts goals, including changes to ‘outdated’ rules

The agency's Strategic Plan for 2018-22 addresses the transformations in capital markets and seeks to update regulation.

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.

Five ways to make private real estate CFOs’ and COOs’ lives easier

Private real estate’s finance and operating officers face myriad challenges, but many have a common solution, the audience heard at sister publication PERE's CFO/COO Forum.

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