Compliance & Regulation

The direction of travel is towards greater scrutiny of how private information is stored and used. A recent risk alert gives a steer.
OCIE’s most recent risk alert is about client data: find out what compliance issues they found and why private equity firms should pay attention.
Tom Angell, practice leader of WithumSmith+Brown’s Financial Services Group, outlines the AICPA’s new valuation guide and how managers can keep LPs and a vigilant SEC happy by mitigating financial reporting risk.
A relatively small settlement with the SEC points to a much bigger issue of note for PE firms.
We recently caught up with the industry body’s chief executive, Steven Nelson, who gave us a sneak peek at its soon-to-be released GP-led secondaries best practices.
Compliance issues around texting still exist in the private equity industry. How should firms handle this intricate topic and what should they expect in the future?
Casey Santos shares thoughts on cyber-risk trends and how AI could be used to prevent cyber attacks.
Private equity valuations shouldn't feel a major impact from the new revenue recognition rules, writes PJ Patel, senior managing director and co-CEO of Valuation Research Corp. But valuation professionals should pay attention to certain accounting standards that are on the horizon.
If Gulf organizations can learn from Abraaj’s mistakes and demonstrate high standards of corporate governance and integrity, there’s no limit to potential growth in the next 15 years, writes Christopher Skipper, a partner at Winston & Strawn’s Dubai office.
Further regulation of non-bank lending is unnecessary, a new white paper argues. It’s time to look at the smaller picture within individual member states.
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