SEC

The latest risk alert reminds private equity firms to watch over employees’ use of social media and suggests best practices to improve monitoring.

The regulator's Thaddeus North opinion gives guidance as to when enforcement action against chief compliance officers might be appropriate, write Sam Waldon and Erica Jones of Proskauer.

Daniel Kahl's appointment fortifies senior leadership amid recent departures of veteran staff.

NB Alternatives Advisers was found to have improperly allocated compensation-related expenses to three private equity funds it advised.

Four months after President Trump asked the agency to look into the matter, it is taking aim at the frequency of reporting.

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.

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.

The regulator will be monitoring firms that manage both mutual funds and private funds to check for allocation conflicts. PE firms should take note.

The Enforcement Division has lost 10 percent of its staff over a two-year period.