The message is clear: the U.S. wants cops on the beat to prevent another financial crisis, as evidenced by the recent nomination of Mary Jo White to be the new SEC Chairman. Our consultants are also on the beat, and explain what the recent nomination could mean for the industry. Then, we turn on the sirens for the top private equity concerns – including fundraising and marketing issues, conflicts of interest, and the use of coinvestment vehicles. If you’re a PE firm and the SEC hasn’t knocked on your door yet, they’re certainly canvassing your neighborhood…
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- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
- Compliance Considerations for Dual Registrants
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