Over the past few months several ICSGroup clients have had their very first SEC examination. We’ve noticed some noteworthy trends in the types of issues that are of most concern to regulators. Being aware of these issues will enable you to be more prepared for the inevitable SEC exam and may help you avoid being…

“Full transparency of fees and conflicts of interest is critical in the private equity industry and we will continue taking action against advisers that do not adequately disclose their fees and expenses.”  –Andrew J. Ceresney, Director of the SEC’s Division of Enforcement Over the past several years, the Securities and Exchange Commission (“SEC”) has been…

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