The settlement was the result of an SEC examination that started in December 2016.
The Volcker Rule forbids a bank or investment advisor from sharing the same name or a variation of the same name with a private equity fund that it creates.
California’s data law and cyber-risk management figure strongly on private equity agendas.
Less than half of CFOs and operational executives feel well-prepared to handle a cyber-attack.
GDPR was the most notable EU regulatory initiative in 2018, but attention soon switched back to Brexit.
The long-awaited US tax reforms were well-received by the private equity industry.
The latest risk alert reminds private equity firms to watch over employees’ use of social media and suggests best practices to improve monitoring.
The regulator's Thaddeus North opinion gives guidance as to when enforcement action against chief compliance officers might be appropriate, write Sam Waldon and Erica Jones of Proskauer.
Daniel Kahl's appointment fortifies senior leadership amid recent departures of veteran staff.
Our pfm/SANNE CFO Survey 2018 shows that only 38% of US CFOs said their private equity firms are marketing in the region.