Legal/Compliance

'The scope of these rules is wide and a large number of transactions will need to be examined,' say our guest contributors.

The pandemic has millions working from home but it's no time to get 'complacent' with compliance, experts say in the wake of an SEC alert.

CFIUS’s 2019 annual report details an emboldened committee with upgraded resources and a strong focus on enforcement.

The moves represent an ongoing blurring of distinctions between off-shore domiciles used by private funds, says one industry lawyer.

Less than one-fifth of private fund compliance officers have a single title, a review of SEC disclosure data finds.

Massachusetts adds yet another lawsuit to the growing list of them against GPB Capital, and a fired compliance officer says it vindicates her claims.

Covid-19 could spark a fresh wave of outsourcing that sees little but fundraising and investment left in house.

Ares’ $1m settlement with the SEC; the fourth and final installment of our preview of Proskauer’s GP-led guide.

Results of Secondaries Investor’s annual survey advisors’ deal activity; Frontline’s tips on remote compliance.

Managers and compliance professionals need to be identifying mission critical systems, constantly engaging with IT, implementing regular training and maintaining heightened levels of communication.