Today’s Wall Street Journal has an interesting article that takes a look at whether Private Equity is ready for the SEC examinations that are sure to come. While many PE firms have hired compliance experts, I agree that only have few of these experts have significant experience with a SEC exam and even less have experience dealing with the SEC’s enforcement staff if the exam does not go well. This should be very worrisome to many in the industry.
- SEC Charges Microsoft Manager Brian Jorgenson and his Friend Sean Stokke with Insider Trading
- SEC Obtains Emergency Relief against Robert Helms and Janniece Kaelin in Alleged Ponzi Scheme
- SEC Charges Fifth Third Bancorp and its Former CFO Daniel Poston with Fraud for Accounting Practices during the Financial Crisis
- SEC Settles Insider Trading Case against Charles Langston III
- SEC Settles Penny Stock Case Against Curt Kramer for $1.4 Million
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