Policy

Middle-Market Public Policy Roundup

Committees in the House continue to organize while the longest federal government shutdown in U.S. history hampers federal workers and agencies.

Misallocation of Fees Subject of Recent SEC Enforcement Actions

Why it's important for investment advisers to be cautious when allocating expenses to a fund without clear disclosure.

SEC’s Use of In-House Administrative Law Judges Challenged

A private equity adviser questioned the practice, which could make other SEC enforcement actions eligible for a rehearing.

What Keeps Compliance Officers up at Night?

Two members of the Private Equity Regulatory Task Force steering committee discuss the compliance and regulatory issues impacting PE firms.

False Claims Lead CCO to Trouble with SEC

This enforcement action is a good reminder for chief compliance officers to make sure information is accurate on Form ADV filings.