Legal/Compliance

Former Ares exec loses millions in unvested stock incentives.

Firms should focus beyond the Commission's 'hot topic' compliance issues and understand their own individual vulnerabilities. 

Rozenblit: Transparency key to mitigating GP-led reg risk.

Is action living up to the rhetoric on gender diversity?; Madoff: What the SEC has learned (and what it hasn’t).

Rozenblit announced this week the launch of his firm, Iron Road Partners, to work with alternatives shops on preparing for regulatory examinations and investigations, among other things.

The firm is backing new legislation, which it will soon pilot, that combines the most attractive aspects of the regulatory frameworks from various states; and it wants industry input to help it make it a success.

The treasury management and portfolio finance solutions provider announced the general release of a platform to manage credit facilities.

A survey conducted by Apperio says smaller firms are better at managing costs – especially legal ones.

Cyber-criminals see mid-market private equity firms and their funds as prime prey, and the hunt is on.

GP stakes: Watch where you tread.