Feature

How Attorneys Can Help PE Clients Be SEC Compliant

By Benjamin Horney (May 11, 2018, 1:24 PM EDT) -- A fine of more than $778,000 recently levied by the U.S. Securities and Exchange Commission against private equity firm Welsh Carson Anderson & Stowe for infractions related to group purchasing fees shows the PE industry is still on the regulator's radar, meaning attorneys must be vigilant about helping clients stay compliant.

The penalty, which totaled $778,819 and was assessed in late April to WCAS Management Corp., represents the first enforcement action lodged against a private equity sponsor this year.

The slowdown in cases specifically tied to PE firms can be attributed, in part, to the SEC's shift toward combating cyber-based threats...

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