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Compliance & Regulation

'Greenwashing' a target-rich environment.
As a firm’s de facto tech specialist, CCOs look to software to streamline operations and reduce compliance risks.
The commission wants to see private equity firms have robust controls to prevent the misuse of MNPI.
A cybersecurity illustrative image
The commission has re-opened the comment period on the rule for advisers, but firms can act now to bolster cyber risk management.
Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
GPs will soon have to report on sponsor-initiated secondaries deals within 60 days from the end of each quarter, after the US regulator voted through the proposals Wednesday.
Piles of one hundred US dollar bills
Capital markets subcommittee said 'overly burdensome' regulations are limiting IPOs and capital formation.
Capital markets subcommittee looks to amend 'senseless regulations' that limit investors in private markets.
Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
Both Republicans and Democrats took the Commission's chairman to task on many SEC initiatives.
Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
Regulator settled with the accused over allegedly mishandled audits of investment valuations.
Extracted performance and attributions causing confusion for PE managers despite the Commission’s recent guidance.
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