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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.

Former PE exec to face SEC fraud charges

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

Whose track record is it anyway?

An emerging manager’s historical performance can attract detailed scrutiny from the SEC; here’s how to stay on the right side of the regulator.

For private funds, the beginning is in the end

GPs need to show they can handle their end-of-life funds when raising a new fund.

Should end of life be a new beginning?

Negotiations and arrangements for the remaining portfolio can prove fiendishly complicated when a fund approaches the end of its term. Julie Corelli of Pepper Hamilton considers the challenges

The 15-year road to Tilton’s Zohar bankruptcy

Patriarch Partners' CEO Lynn Tilton placed three CLO funds into bankruptcy earlier this month, the latest move in a 15-year long saga that has included numerous lawsuits and a victory against the SEC.

The SEC: Still watching private funds

Private funds were not named in its 2018 priorities, but managers should read between the lines.

Compliance on the big screen

A private equity manager and his SEC compliance officer are the stars of a new television comedy.

Three questions with the former SEC NY exam head

Managers of retail and retirement capital and those investing in cryptocurrencies are ‘on notice for increased scrutiny’, says Ken Joseph, the former SEC exam boss who recently joined advisory firm Duff & Phelps.

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