Tag Archives: SEC

New Private Equity Compliance Book Released – Does Liquidity Impact Compliance Management?

Did you know that compliance is one of the fastest-growing areas in the private equity space? Recent surveys indicate that PE compliance spending has rapidly outpaced other PE operating costs with recent estimates indicating that individual PE funds on average … Continue reading

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Much Ado About Nothing – The SEC’s Missed Opportunity on the Advertising Ban Lift

The SEC recently adopted a rule that overturned an 80 year ban that will now allow hedge funds to advertise publicly, well kind of, for the first time. The rule, which passed by a 4-1 vote, came about because of … Continue reading

Posted in Endowment, Foundation, Fraud, JOBS Act, Operational Risk, Operational due diligence, SEC | Tagged , , , , | Comments Off

The FBI Is On the Case of Hedge Fund Fraud

Over the past few years, the U.S. Federal Bureau of Investigation (“FBI”) has become increasingly involved in policing hedge fund fraud. Traditionally, thought of by most as focusing on more criminal activities such as terrorism and bank robbery, the FBI … Continue reading

Posted in FBI, Fraud, Fund of Hedge Funds, Operational Risk, Operational due diligence, Ponzi, SEC, insider trading | Tagged , , , , , , | Comments Off