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Disclosure, Disclosure, Disclosure!

by Allen Greenberg, PEF Services LLC There has been a great deal of discussion regarding recent comments made by Andrew J. Bowden, Director of the SEC’s Office of Compliance Inspections and Examinations, at a PEI conference earlier this month about findings the SEC...

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It All Depends On Where You Are Sitting

By Anne Anquillare, PEF Services LLC I recently attended the Panel on Middle Market Perspectives at ACG InterGrowth and this is what I heard. The opening keynote panel was fantastic – Hiter Harris from Harris Williams, Stewart Kohn from Riverside and John Martin from...

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What I heard at the SBIA Western Private Equity Conference

By David Gerogosian, PEF Services Recently, I attended the Small Business Investor Alliance's (SBIA) Western Private Equity Conference.  Here are my thoughts on this year’s conference: The attendance this year was stronger than ever with over 160 attendees for the one...

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Cybersecurity Examinations

By Melinda Scott, Esq., Scott Goldring Associates The U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) previously announced that its 2014 Examination Priorities included a focus on technology; including cybersecurity...

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Five Tips for A SEC Exam

by Mark Heil, PEF Services Recently, several of our clients received that phone call from the SEC announcing that they are dropping by for a visit.  Trust me, it is never a convenient time for one of these visits. Some recent announcements by or about the SEC provide...

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ARE YOU READY FOR APRIL 25?

by Mark Heil, PEF Services April is a busy time for CFOs.  Hopefully, the year-end reporting has not distracted you from taking the necessary steps towards FATCA compliance.  As a reminder, April 25 is the deadline for Foreign Financial Institutions (FFI) to register...

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