The ways in which the SEC applies the law on advertising are constantly evolving, say Jason Brown, Eva Carman and Caitlin Giaimo of Ropes & Gray.
An SEC ruling on email monitoring has done little to clarify the limits of compliance chiefs’ liability.
Jina Choi’s departure follows a string of recent high-level officials stepping down, with skills and leadership that can be difficult to replace.
CVC Capital Partners' chief compliance officer, Raju Hussain, provides tips on how to get through the exam process.
Stiff penalties apply to GPs eyeing deals in France who do not comply with rules around foreign investment and obtaining merger clearance, according to law firm Franklin.
The Enforcement Division has lost 10 percent of its staff over a two-year period.
Moana Moore joined as partner with responsibility for compliance oversight and money laundering reporting on November 6.
The Senior Managers and Certification Regime will revamp the structure and culture of private equity firms in many ways, valuations being one
Private equity firms with limited resources can take measures without spending heavily to ensure that their data is protected, writes Phil Chambers.
The Cost Transparency Initiative – which covers around £180bn of scheme assets – will run a pilot phase to test the new templates and supporting materials until January 2019.