Firms may struggle to adjust their practices to be compliant in time for a 2021 deadline, according to Debevoise & Plimpton's Simon Witney and Patricia Volhard.
The SEC charged AST Investment Services and PGIM Investments with failing to disclose conflicts of interest that cost funds $72m.
Alter Domus’ Anita Lyse and Antonis Anastasiou discuss the merits of the third-party hosted AIFM platform, the solution many managers have adopted when establishing investment funds to be marketed to investors in the EU.
Lawyers from Groom Law Group explain the regulatory challenge to getting 401k investors into private funds and how it can be addressed.
Our downloadable directory contains key details to help you choose the right compliance consultant for your firm. Last updated on April 16, 2021.
Blackstone’s global head of compliance, Marshall Sprung, on striking the right balance between proactive and reactive.
When the SEC released details of its settlement with Veronis Suhler Stevenson last year, the secondaries community took note.
A recent document request letter acquired by Regulatory Compliance Watch shows the SEC digging deep into environmental, social and governance issues.
CCO and former SEC enforcement branch chief Scott Pomfret gives his advice on carrying out an annual review in this excerpt from The US Private Equity Fund Compliance Companion.
Need to find a chief compliance officer? Here is some insight to help you hire, outsource or nominate one of the team.