This content is from: Portfolio Did the SEC Set the Bar Too Low for Private Market Investors? Critics — including two SEC Commissioners — take issue with the new standards. By Christine Idzelis August 26, 2020
This content is from: Culture SEC Fines Ares for Compliance Failures Tied to Portfolio Company The private equity firm should have done more surrounding compliance inquiries into material nonpublic information, according to the SEC. By Christine Idzelis May 27, 2020
This content is from: Premium Novus Comes Out Swinging Against the New SEC 13F Proposal Hundreds of commenters oppose raising the AUM threshold for filing 13Fs, which they say would impede hedge fund due diligence. By Michelle Celarier July 31, 2020
This content is from: Culture SEC Charges PwC With Violating Independence Rules This is the second time the U.S. Securities and Exchange Commission has charged an auditing firm in recent months. By Alicia McElhaney September 23, 2019
This content is from: Culture The SEC Brought More Charges This Year. Here’s Who They Targeted. More regulatory enforcements led to a 10 percent increase in total fines paid to the SEC. By Alicia McElhaney November 06, 2019
This content is from: Corner Office Morningstar Used Credit Analysts to Lure Business, Says SEC The ratings agency will pay a $3.5 million fine to settle conflicts of interest charges. By Alicia McElhaney May 15, 2020
Sponsored A Case of Not Keeping One’s Word Goldman Sachs said it would avoid conflicts of interest, but investors and the courts say they did the opposite. Sponsored by Kessler Topaz Meltzer & Check September 16, 2020
