Compliance

Keeping a lid on legal expenses

Why hiring outside counsel needn’t cost you the earth

Legal expenses can be expansive and opaque. Regulatory Compliance Watch’s Carl Ayers looks at what a GP can do to keep legal bills under control.

Views from the 2019 Private Fund Compliance Forum

What's on CFOs' and CCOs' minds? Valuations guidelines, patch cyber insurance coverage and SEC exam patterns.

4 key takeaways from the Private Fund Compliance Forum 2019

How ESG climbed the compliance agenda, patchy cybersecurity insurance and better valuations guidance were discussed at length at the San Francisco event.

What EU ESG rule delays mean for investment funds

Firms may struggle to adjust their practices to be compliant in time for a 2021 deadline, according to Debevoise & Plimpton's Simon Witney and Patricia Volhard.

What lesssons to learn from a $33m SEC settlement

The SEC charged AST Investment Services and PGIM Investments with failing to disclose conflicts of interest that cost funds $72m.

Alter Domus on accessing European capital

Alter Domus’ Anita Lyse and Antonis Anastasiou discuss the merits of the third-party hosted AIFM platform, the solution many managers have adopted when establishing investment funds to be marketed to investors in the EU.

Why retirement savers need PE and how they can get it

Lawyers from Groom Law Group explain the regulatory challenge to getting 401k investors into private funds and how it can be addressed.
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DOWNLOAD: Directory of compliance consultants with PE experience

Our downloadable directory contains key details to help you choose the right compliance consultant for your firm. Last updated on September 13 2019 with details for Adherence.

View from the C-suite: Blackstone’s head of compliance

Blackstone’s global head of compliance, Marshall Sprung, on striking the right balance between proactive and reactive.

The VSS case and the path toward best practice

When the SEC released details of its settlement with Veronis Suhler Stevenson last year, the secondaries community took note.
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