KKR’s global CCO Bruce Karpati and CISO David Stern talk about building a successful relationship between compliance and tech, speaking the regulator's language, and what and who not to rely on when building and maintaining your cybersecurity defenses.
You are advised to ensure that your disclosures around use of testimonials and endorsements are sound, according to a new risk alert from the SEC’s Division of Examinations.
Side gigs and technology pose new challenges for compliance teams.
Gloom settles in on both sides of the debate over SEC reforms.
Managers’ adoption challenges include leaks of material non-public information and archiving.
'Greenwashing' a target-rich environment.
As a firm’s de facto tech specialist, CCOs look to software to streamline operations and reduce compliance risks.
The commission wants to see private equity firms have robust controls to prevent the misuse of MNPI.
The commission has re-opened the comment period on the rule for advisers, but firms can act now to bolster cyber risk management.
GPs will soon have to report on sponsor-initiated secondaries deals within 60 days from the end of each quarter, after the US regulator voted through the proposals Wednesday.