Compliance & Regulation

For large asset managers, the attraction of retail investors could mean an expanded wealth management bench. Others aren’t so sure.
The ground being laid in the US to welcome retail investors into alternatives is rocky. Where mid-market managers fit is an open question.
SEC chairman Jay Clayton wants an overhaul of the advertising rule that would bring private funds into scope by year end. The proposal has industry representatives up in arms.
The GLBA shield offers advisors that fall under the CCPA no protection regarding data breaches, though. Penalties can sting.
The Office of Compliance Inspections and Examinations’ private funds risk alert is not only a warning to the industry, but also a sign of where enforcement is heading.
Macfarlanes tax risk experts explain the EU's new Directive on Administrative Cooperation, and how private equity firms can prepare for compliance and manage tax risk.
SEC passes rule that supporters hope will attract more retail investors into private capital markets.
CFIUS’s 2019 annual report details an emboldened committee with upgraded resources and a strong focus on enforcement.
The Office of Compliance Inspections and Examinations issued a warning about increasing cyber risks to registrants with the Securities and Exchange Commission, and outlined six areas they should review.
Less than one-fifth of private fund compliance officers have a single title, a review of SEC disclosure data finds.
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