SEC

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When the SEC released details of its settlement with Veronis Suhler Stevenson last year, the secondaries community took note.

A recent document request letter acquired by Regulatory Compliance Watch shows the SEC digging deep into environmental, social and governance issues.

CCO and former SEC enforcement branch chief Scott Pomfret gives his advice on carrying out an annual review in this excerpt from The US Private Equity Fund Compliance Companion.

The Securities and Exchange Commission's concept release on the harmonization of securities offering exemptions could prelude more Main Street access to private equity.

There’s a section in the Stop Wall Street Looting Act of 2019 that deserves closer attention.

There are potential conflicts that could surface with the use of alternative data in private equity.

In the wake of State Street’s recent $94.3m fine, we look at the difficult decision to self-report misconduct to the regulator.

Four compelling reasons why compliance chiefs should be focusing on the personal data your firm holds.

EU rules were just the start; new regulations around data governance are coming to a state near you.