The Private Capital Industry Is Evolving


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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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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