Compliance

Be aware that examiners may question your logic for placing clients in certain share classes
The Senior Managers and Certification Regime has been implemented for banks and extended to regulated private funds, and it hasn’t been so bad, market players say. But the transition is not over yet.
The recent enactment of CFIUS’s FIRRMA 2018 included updates and clarifications to the regulation. But it will still have firms visiting their lawyers for advice more often, and the list of transaction types covered is likely to increase.
Stuart Jubb, head of consulting at Crossword Cybersecurity, discusses a framework and tips for getting processes correct internally to manage third-party risk in private equity portfolios.
A venture capitalist calls out for more GP DD; You need to get your lawyer to hire your compliance consultant; California’s privacy law extends well beyond the state.
'If you’re subject to the law, it doesn’t really matter if you’re in or outside of California.'
If 'done incorrectly,' a compliance consultant’s work can inadvertently chart a detailed course for SEC enforcement staff to air a firm’s 'dirty laundry.'
HKW's Constantine Rakkou talks about being both CFO and CCO, anti-money laundering and advice to those who wear multiple hats.
ESG was among the hottest, and most contested, topics at the CFOs & CFOs Forum.
OCIE hopes these observations will spur organizations 'to reflect on their own cybersecurity practices.'
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