With the November elections fast approaching, firms need to remind employees about the rules of donating to a political campaign.
Experts detail what needs to be disclosed, and when and how to disclose it, when it comes to SPAC and de-SPAC transactions, which are under heavy SEC scrutiny.
With greater regulatory scrutiny on private funds, KKR’s global CCO and former SEC enforcement chief Bruce Karpati talks about the key components of a successful compliance program and how compliance pros can stay on top of evolving issues.
Private fund adviser charged with failing to disclose conflicts and making material misstatements and omissions tied to SPACs.
A demand that the $206bn state pension consider only ‘pecuniary’ factors when investing does little to change its sizeable private markets programme.
Trustbusters ready themselves for private fund enforcement.
The Federal Trade Commission has just given itself permission to crack down on mergers and private fund advisers are in the agency’s sights.
The former co-head of the SEC’s Private Funds Unit and managing partner of regulatory consultancy firm Iron Road Partners details where GPs should be spending their time.
The firm's founder and president, Amy Lynch, talks about what concerns advisers have and gives advice on how they should react.
An RCW analysis of more than 120 advisers that have already answered these questions found every one of them indicated they will use testimonials