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DOL Pulls Back on 2020 Statement on Use of Private Equity in Defined Contribution Plans

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January 04, 2022

Tags: DOL, Private Equity

SEC Fines PE Fund Adviser $4.5 Million in Connection with Fee Calculations

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December 21, 2021

Tags: Disclosure, Fees and Expenses, Private Equity, SEC Enforcement

Gensler Says SEC Considering New Rulemakings for Private Fund Advisers

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November 22, 2021

Tags: Conflicts of Interest, Gary Gensler, Private Equity, Private Funds

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December 01, 2020

Tags: Advertising, Advertising Rule, Columns, Compliance Corner, Hedge Funds, Private Equity, Private Funds

SEC Fines PE Fund Adviser $1.9 Million for Undisclosed Fee Practices, Criticizes Use of the Word “M

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November 25, 2020

Tags: Conflicts of Interest, Fees and Expenses, Private Equity, SEC Enforcement

DOL Confirms DC Plans May Offer Options that Include Private Equity Investments

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November 25, 2020

Tags: EIRSA, DOL, Fiduciary, Jay Clayton, Private Equity

LA PE Fund Adviser Pays $1 Million to Settle MNPI Charges

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November 25, 2020

Tags: Inside Trader, Compliance, MNPI, Private Equity, SEC Enforcement

Volcker Rule Covered Fund Amendments Welcomed by Bank-Affiliated Asset Managers

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November 25, 2020

Tags: Bank-Affiliated Asset Managers, CFTC, Hedge Funds, Private Equity, Volcker Rule

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