Compliance

The former co-head of the SEC private funds unit speaks to Secondaries Investor about risks in the technical aspects of restructuring transactions.
Momentus CEO Mikhail Kokorich and his SPAC backers misled investors about Kokorich's national security 'threat,' the Commission claims.
Rozenblit announced this week the launch of his firm, Iron Road Partners, to work with alternatives shops on preparing for regulatory examinations and investigations, among other things.
Many private companies haven’t prioritized investing in their back-office functions, increasing the likelihood of adverse developments years after going public, write AlixPartners’ Sean Dowd and Marc Landy.
'The SEC must grow and evolve with the industry,' chairman says.
'If there’s even the remotest notion that something could cause a disclosure issue, put it in.'
Congressional and SEC Republicans want to set limits on ESG rules, hoping to learn 'from the LIBOR debacle.'
Hester Peirce
SEC commissioner says the Division of Examinations’ recent alert 'raises questions of its own.'
The SEC has issued guidance on the booming SPAC market, and many believe that more regulation is coming. Will regulators step in before the market shows signs of collapse?
Registered investment advisors are struggling with ESG disclosures and their policies and procedures, the SEC said in a new risk alert.
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