Jill Radloff

Jill Radloff

Stinson Leonard Street

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SEC Discusses Troubling Private Equity Practices

Andrew J. Bowden, Director, SEC Office of Compliance Inspections and Examinations, gave a talk where he discussed troubling practices identified in examinations of private equity advisers. Some of these include...more

5/12/2014 - Disclosure Requirements Fees Investment Adviser Private Equity SEC

SEC Staff Report Relating To The Use Of Data Collected From Form PF

The Dodd-Frank Act provided the SEC with new authority, and directed it to use this authority to require registered investment advisers to maintain records and file reports regarding the hedge funds, private equity funds and...more

8/2/2013 - Data Collection Dodd-Frank Form PF Hedge Funds Investment Adviser IOSCO Private Equity Private Investment Funds SEC

Hedge Funds And Private Equity Groups On SEC Examination Priority List

The Office of Compliance Inspections and Examinations, or OCIE, administers the SEC’s nationwide examination and inspection program. The National Examination Program, or NEP, has published its examination priorities to...more

2/25/2013 - AIFMD Asset Management Conflicts of Interest Dodd-Frank ETFs Hedge Funds Investment Adviser OCIE Portfolio Managers Private Equity Private Equity Funds SEC Sec Examination Priorities

SEC Official Describes Enforcement Priorities For Hedge Funds

Bruce Karpati, Chief, SEC Enforcement Division’s Asset Management Unit, recently described enforcement priorities with respect to hedge funds. He noted the Asset Management Unit, comprised of 75 staff across 11 offices,...more

12/28/2012 - Asset Management Enforcement Hedge Funds Investment Adviser Private Equity Funds SEC

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