Private Equity Regulatory Update - September 2017
- So You Want to Buy a Stake in a Private Equity Manager?
- SEC Staff Issues Information Update on Compliance with Form ADV Amendments for Other-Than-Annual Amendments
- OCIE Issues Risk Alert on Common Advertising Rule Compliance Issues Identified in Investment Adviser Examinations
- SEC Charges Chief Compliance Officer for Failure to Verify Accuracy of Securities Filings
- SEC Charges Adviser for Improper Allocation of Consulting and Other Fees