A large number of private equity managers were required to register for the first time with the U.S. Securities and Exchange Commission (SEC) pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act (Act)....more
3/26/2016
/ Conflicts of Interest ,
Disclosure Requirements ,
Dodd-Frank ,
Enforcement Actions ,
Financial Services Industry ,
Fund Managers ,
Investment Advisers Act of 1940 ,
OCIE ,
Private Equity Funds ,
Registration Requirement ,
Securities and Exchange Commission (SEC)
Overall Trends & Outlook -
From an enforcement standpoint, 2013 was another historic year in a number of important ways beyond the sheer number of cases, which were again significant. Federal banking agencies1 issued...more