Tag

#David Woodcock

SEC probes private equity continuation vehicles as exits stall

Private equity continuation vehicles are under SEC scrutiny as managers lean on them to extend exits, raising fresh questions on valuations and conflicts.

By Tomás IglesiasJune 25, 2026

Signage at the headquarters of the U.S. Securities and Exchange Commission in Washington, D.C.

Regulation

Fewer SEC cases still leave asset managers exposed

SEC asset managers remain a core enforcement target as case counts fall, leaving advisers exposed on fees, valuations, conflicts and client assets.

By Tomás IglesiasMay 22, 2026

Financial documents and eyeglasses illustrating the disclosure and valuation controls asset managers must defend in SEC exams and cases.

Regulation

SEC enforcement chief signals fraud focus, room for honest mistakes

David Woodcock's first SEC speech paired a fraud-first agenda with a stated willingness to distinguish investor-harming deception from honest mistakes.

By Tomás IglesiasMay 16, 2026

A classic government building in Washington, D.C.

Regulation

SEC reset keeps adviser, retail-fraud cases in focus

Paul Atkins says the SEC will judge enforcement by quality, but David Woodcock's early signals suggest adviser misconduct and retail fraud still sit near the top of the docket.

By Tomás IglesiasMay 16, 2026