Sep 21 2012 | 12:25pm ET
The Securities and Exchange Commission is looking into a whole host of potentially questionable practices on the part of private equity firms, seeking to ensure that investors are getting a fair shake.
The regulator launched its probe two years ago, after the passage of the Dodd-Frank financial regulation law gave it the power to do so. The SEC's investigation ranges from how firms pay out profits to investors, how expenses are allocated, dealings with third-party firms and internal controls.
Jul 8 2014 | 10:48am ET
The surge in derivatives regulation is among the most complex challenges facing the financial services industry today. Northern Trust’s Joshua Satten recently spoke with FINalternatives to share insights into the challenges presented by new regulation and explore how the industry is responding. Read more…