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SEC Asset Management Unit Chief Bruce Karpati Addresses Private Equity Enforcement Trends, Initiatives and Priorities

On January 23, 2013, Bruce Karpati, Chief of the Asset Management Unit (AMU) of the SEC’s Division of Enforcement, delivered a speech at the Private Equity International Conference in New York.  In the course of that speech, Karpati addressed: the AMU’s activity in the private equity space; the likely increase in private equity enforcement activity going forward; the Division of Enforcement’s risk analytics initiatives; AMU’s enforcement priorities; recent enforcement actions; and specific pointers for private equity firm COOs and CFOs for reducing enforcement risk.  This article summarizes key points from Karpati’s speech.

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