Topic: Internal Controls

SEC Reminds Private Equity Firms of Compliance Obligations

by Stan Keller | May 28, 2020 | Enforcement Actions, Internal Controls, Investment Advisors, Rule 10b-5

In a settled enforcement action,[1] the Securities and Exchange Commission reminded private equity firms and registered investment advisors of their obligation to implement and enforce compliance procedures, in particular procedures to prevent the misuse of material non-public information.

Cyber Threats and Internal Accounting Controls

Oct 17, 2018 | Internal Controls

On October 16, 2018, the Securities and Exchange Commission (“SEC”) issued an investigative report (see here) pursuant to Section 21(a) of the Securities Exchange Act of 1934 (the “Exchange Act”) warning public companies that become victims of cyber-related frauds that they may violate the federal securities laws if they fail to have a sufficient system of internal accounting controls.

Topic: Internal Controls

SEC Reminds Private Equity Firms of Compliance Obligations

Cyber Threats and Internal Accounting Controls

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