More Securities & Exchange Commission (SEC) Articles


Aggressive Corruption Persists: Findings from the latest AlixPartners global anti-corruption survey

The record number of enforcement actions taken by the U.S. Securities and Exchange Commission is proof that corruption, fraud and other misconduct remain legitimate problems for many companies globally. Vigorous enforcement, which today involves the use of sophisticated technology and data...

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Private Equity

SEC Cracks Down on Broker-Dealer Registration: Private equity fund advisers are being held accountable for in-house transactions

The Securities and Exchange Commission (SEC) has begun pursuing transaction-based compensation paid to private equity fund advisers relating to portfolio company transactions as illegal brokerage commissions. It continues to target the advisers’ undisclosed use of client fund capital,...

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Financial Institutions | Finance | Hedge Funds

Hedge Fund Scrutiny Continues: Heightened attention is driving up costs and increasing transparency

As the hedge fund industry has matured, regulation of funds has intensified, particularly since the global financial crisis beginning in 2008. Kelli Moll, who has been working with fund clients for more than 20 years, provides her perspective on where things stand regarding regulation and...

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