Home SEC

SEC

For the record: How CVC does compliance

Raju Hussain, CVC's compliance chief, explains how he keeps the $70bn firm on the right side of its many regulators and how he guided it through three exams.

SEC’s head of San Francisco office to leave agency

Jina Choi’s departure follows a string of recent high-level officials stepping down, with skills and leadership that can be difficult to replace.

CVC offers up three steps to SEC exam success

CVC Capital Partners' chief compliance officer, Raju Hussain, provides tips on how to get through the exam process.

This may be the start of the SEC’s focus on allocation

The regulator will be monitoring firms that manage both mutual funds and private funds to check for allocation conflicts. PE firms should take note.

SEC enforcement unit continues to lose staff, raising concerns on PE oversight

The Enforcement Division has lost 10 percent of its staff over a two-year period.

Virginia-based fund manager settles with SEC for fraud but faces criminal charges

Todd Hitt faces up to 20 years in prison on charges of misappropriating millions of dollars in investor funds to support an 'extravagant lifestyle' and make 'Ponzi-like' payments.

Key SEC cybersecurity policy advisor to leave

Christopher Hetner, a senior advisor to the agency’s chairman, has worked to strengthen cyber incident response planning and threat intelligence capabilities.

The VSS case is a wake-up call for GP-led deals

The secondaries market has come a long way; best practice around managing conflicts of interest has some way to go.

Elad Roisman sworn in as SEC commissioner

The Trump-appointee fills a position vacated by Michael Piwowar in July.

VSS restructuring ends with $200,000 SEC sanction

The SEC alleges the firm withheld information on an updated net asset value for stakes in its Fund III before a sale.

Copyright PEI Media

Not for publication, email or dissemination