'If you’re subject to the law, it doesn’t really matter if you’re in or outside of California.'
If 'done incorrectly,' a compliance consultant’s work can inadvertently chart a detailed course for SEC enforcement staff to air a firm’s 'dirty laundry.'
HKW's Constantine Rakkou talks about being both CFO and CCO, anti-money laundering and advice to those who wear multiple hats.
ESG was among the hottest, and most contested, topics at the CFOs & CFOs Forum.
Forum panelists on how to do data the wrong way; SEC proposes further changes to Volcker; Blackstone and Apollo are swelling.
OCIE hopes these observations will spur organizations 'to reflect on their own cybersecurity practices.'
The strategy is a reaction to the 2017 tax reform, which included provisions that charge an ordinary income tax rate on carry generated from investments held under that period.
Neuberger Berman COO says AML/KYC regs will, and should, come to the US private markets; A universal guide to valuations; State Street and iCapital join up to target HNWIs, family offices, and (eventually) retail
During a working group at the 2020 PEI CFOs and COOs Forum in NYC, a wide-ranging discussion nailed down the finer points of valuation dos and don’ts
The Neuberger Berman COO expressed his admiration for regulation in Europe and thinks there will be a concerted push to bring AML and KYC rules to US private markets.