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SEC Focus on Private Equity: It’s Back!  


Author:  Richard D. Marshall.; Mark D. Goldstein.


Source: Volume 52, Number 18, October 15 2019 , pp.213-219(7)




Review of Securities & Commodities Regulation

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Abstract: 

In recent years, through the operation of specialized units, the SEC has intensified its enforcement focus on private equity firms. The authors discuss this development, focusing on cases involving valuation, misallocation of fees and expenses, conflicts of interest, and “broken windows” enforcement. They close with the lessons to be drawn from the cases.

Keywords: Valuation of Fund Assets; Misallocation of Fees and Expenses; Conflicts of Interest; Broken Windows Enforcement

Affiliations:  1: Katten; 2: Katten.

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