Home Authors Posts by Dominic Diongson

Dominic Diongson

Oaktree, EnCap, Sofinnova under fire for campaign contributions

The three firms, without denying or admitting the SEC's findings, will make settlements totaling $720,000.

CFO Forum: Compliance during SEC exam is key

Some private debt firms recently underwent full exams, while others had presence exams.

CFO Forum: Keep records of expenses for SEC scrutiny

An industry executive says the regulator wants to ensure that expenses aren’t excessive and investors aren’t billed inappropriately.

Copyright PEI Media

Not for publication, email or dissemination