Heather Ayers
Seek to avoid PF exam deficiencies with these tips.
As regulators weigh broader access to private assets, advisers face new challenges around valuation methodology, transparency and investor protection.
Affiliate title RCW has obtained exam requests from an ongoing exam related to interval funds run by an adviser. If your firm manages such a fund, it would be worthwhile to be aware of what examiners are asking
When it comes to staff use of AI, make a determination whether they’re being too conservative or too aggressive with the technology
Now may be the best time for private equity managers to show they can voluntarily clean up the industry on their own.
Predictions greeted the new administration, forecasting that some proposals would surely be withdrawn but the 14 coming at the same time must surprise even the most ardent SEC critic
You might be getting dizzy by now, after a federal judge Feb. 18th granted a motion to reignite the reporting obligations under the Corporate Transparency Act
Affiliate title Regulatory Compliance Watch has obtained its first copy of an SEC examination document request letter sent to an adviser after the new Trump administration took office and it confirms that adviser advertisements continue to attract examiner scrutiny.
Wording of the expenses also left much to be desired.
Among other things, this proposal would mandate that advisers must verify a customer’s or an entity’s identity 'within a reasonable time before or after the customer’s account is opened.'