NB Alternatives Advisers was found to have improperly allocated compensation-related expenses to three private equity funds it advised.
The regulatory environment is seen as conducive for fund managers, including those in private equity, to operate in the country.
Four months after President Trump asked the agency to look into the matter, it is taking aim at the frequency of reporting.
Communicating with other executives helps to stay on top of advances in compliance and operations, New Heritage Capital COO and CCO Nickie Norris says.
The 2018 TRACE Bribery Risk Matrix covering 200 countries and territories found that Somalia, Libya, Venezuela, Chad and Turkmenistan are riskiest.
Chief financial officers, general counsels and compliance staff were busy in 2018 tackling issues from tax reform and carried interest to data privacy and Abraaj’s failure.
Ruth Horowitz, deputy CEO and COO for the asset management arm of the International Finance Corporation, tells pfm how following best practice and outsourcing where needed has helped it manage growth over the last decade.
Raju Hussain, CVC's compliance chief, explains how he keeps the $70bn firm on the right side of its many regulators and how he guided it through three exams.
AIFMD was supposed to make it easier and more efficient for fund managers to raise capital in Europe. Pierre Weimerskirch of LIS – a SANNE company – asks whether it has succeeded.
Community-adjusted EBITDA is being used to justify sky-high valuations. There are good reasons for skepticism, says Anthony Alfonso of BDO.