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: Portfolio The SEC Relaxed Fund-of-Funds Rules for Certain Investors. Here’s How. BDCs and registered investment firms, rejoice: The previous 10 percent cap and extra regulatory hurdles on fund-of-funds investments no longer apply. By Alicia McElhaney October 07, 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: Culture Why the SEC May Have Scrapped Its Controversial 13F Proposal The proposed rule change drew sharp criticism — but it also rested on shaky legal grounds. By Alicia McElhaney October 30, 2020
This content is from: Premium Trian Dumped GE Stock, but Druckenmiller Stood Pat in Q3 as SEC Probe Heated Up The troubled industrial giant received a Wells Notice at quarter’s end. By Michelle Celarier November 17, 2020
This content is from: Culture Ex-Wells Fargo Execs Hit With More Charges for Misleading Investors The SEC has charged John Stumpf and Carrie Tolstedt over a sales strategy that’s been connected to employees opening millions of fake bank accounts. By Alicia McElhaney November 13, 2020
Sponsored Good Investments Are All in the Ingredients How a career in agricultural imports prepared the director of a major Japanese pension fund for an unexpected role. Sponsored by Investment Japan November 20, 2020
