This hour-long webinar features industry expert discussion on why firms need a robust compliance program, and what penalties they face for non-compliance.
Sharing deficiency letters is one aspect of a bill introduced in 2019 called Investment Adviser Alignment Act that has been backed by major institutional investors.
The sword of Damocles has dropped on the principals behind GPB Capital. Federal prosecutors have indicted, the SEC is suing.
New guidelines clear away a web of no-action letters and provide new guidance, possibly opening up the opportunity for private funds to innovate, but coming with their own complexities.
Things an advisor should not do when it comes to advertising.
Harnessing the power of data that many firms already collect for tax purposes can help generate value beyond simple compliance, writes EY's Jen Hwang.
Private funds that ignore the new SEC Rule 2a-5 do so at their own peril, says a Duff & Phelps valuations expert
For private equity, the turbulence of the past 12 months will inform case studies and playbooks for years to come.
The industry remains poised on the cusp of inevitable reform, despite a generally positive view of the political landscape.
Of the 16 registered private funds that faced discipline this year, only one disclosed a pending SEC enforcement matter in advance.