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The three firms, without denying or admitting the SEC's findings, will make settlements totaling $720,000.
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.
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.
A compliance officer relives his firm’s SEC examination, while Saw Mill Capital’s chief financial officer explains her plan.
The court’s decision stems from appeal by a former investment advisor accused of deceptive practices and could upend previous judgments.
An industry executive says the regulator wants to ensure that expenses aren’t excessive and investors aren’t billed inappropriately.
The agency's Strategic Plan for 2018-22 addresses the transformations in capital markets and seeks to update regulation.
Non-US LPs in US funds should expect 'additional scrutiny' during reviews and investigations by a beefed-up Committee on Foreign Investment in the US.
Each advisor was ordered to pay a $75,000 fine but none admitted any wrongdoing.
SEC veteran James Reese had been serving as acting chief risk and strategy officer for the Office of Compliance Inspections and Examinations.