The Commission’s Municipalities Continuing Disclosure Cooperation Initiative has been a significant success. Under the Initiative the agency has filed settled enforcement actions against firm’s representing 96% of the market share for municipal underwritings, improving future disclosures in the market for …
Year: 2016
SEC Charges Private Equity Advisers With Inadequate Disclosure
The Commission has brought a series of cases against private equity centered on undisclosed fees and conflicts of interest – key areas of interest during OCIE exams. The latest proceeding in this string of cases involves four private equity advisers …
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