Compliance

'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 Boston-based private funds advisor will pay to settle SEC claims that it deceptively marketed one of its oil-and-gas investments.
The SEC settled with five private funds in two weeks.
The pandemic has brought both active relief from regulators and greater unknowns and risks for compliance teams.
Globes
These three recent regulatory developments should be on private equity firms’ radars in the US, Europe and Asia.
The SEC's Jay Clayton said that a proposed rule aims to clean up language in the Investment Company Act that makes boards liable for fund valuations.
SEC puts out a helping hand. But what's the plan for OCIE examinations?; Eurazeo full year results show strong cash position.
Experts are concerned that many firms aren’t prepared for the risks of prolonged remote working.
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.
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