
Hugh Kennedy
Fund of funds arrangements, derivatives, fund valuation, advertising and solicitation are all on the agenda.
'PE firms that place employees on the boards of public companies bear heightened risks that they will obtain nonpublic material information through their representative occupying dual roles,' warned an SEC official.
The Securities and Exchange Commission remains 'fully operational.'
Continually assessing your firm's cyber resiliency methodology is recommended.
The sanctioning of Ocean Cross Capital Markets' Thaddeus North illustrates perils facing small firm compliance officers.