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Explore our latest thinking on the issues that matter most in risk, compliance and regulation.

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The Credit Valuation Pyramid

With credit and credit-related issues making headlines, it’s likely that loan and credit valuations will soon become a top focus…

Analytical Note

SEC Publishes its 2026 Exam Priorities

Although the stated priorities appear to signal a shift to a more collaborative tone, we anticipate less deviation from current…

Analytical Note

SEC charges adviser over conflicted loans and failure to disclose key information in LP asset purchase.

The SEC charged a fund manager with securities law violations involving: (1) Related-party loans made at below-market interest rates; (2)…

Analytical Note

Atkins SEC Brings Case Involving Marketing Rule Substantiation Requirement

New case reflects the Atkins’ Commission openness to continue to utilize the Advertising Rule’s substantiation requirement to pursue technical violations.

SEC Brings Case Against a Private Equity Firm For Miscalculating Fee Offsets

On August 15, 2025, the SEC announced an enforcement action against a middle-market private equity firm for improperly calculating and…

Analytical Note

SEC Brings First Rule 105 Case Of New Administration

A Colorado-based RIA violated SEC Rule 105 (under Regulation M) when they purchased stock in a public offering after selling…

Analytical Note

SEC Brings Standalone Custody Rule Enforcement Action

An investment adviser with custody over assets failed to obtain a surprise exam.

the SEC proposed amendments to Form N-PORT that would largely roll back or revise elements of the SEC’s 2024 Form N-PORT amendments, which had contemplated monthly public Form N-PORT reporting on an accelerated 30-day deadline.
Analytical Note

SEC Charges Adviser and Individuals for Overbilling and Falsifying Compliance Reviews

On July 11, 2025 the SEC charged an investment adviser for failing to adequately disclose compensation arrangements with an affiliated…

Private Litigation Highlights the Risks of Continuation Funds and Cross Fund Transactions in Private Equity.
Analytical Note

Private Litigation Underscores Risks in Continuation and Cross-Fund Transactions

On July 5, 2025, a civil complaint was filed in the United States District Court for the Southern District of…

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