Compliance

A 'framework' approach, summa of chairman Jay Clayton's SEC career, comes over Democratic objections.
New disclosure and reporting requirements are set to take shape in March 2021 and will have a range of impacts on US PE managers with even minor operations within the bloc.
It's been a chore to lure accountants in throughout this year of the pandemic.
The OECD initiative ups costs significantly and may point towards authorities requiring funds to collect and divulge tax information from LPs, said panelists at PEI’s CFOs & COOs Forum Europe.
SEC chairman Jay Clayton wants an overhaul of the advertising rule that would bring private funds into scope by year end. The proposal has industry representatives up in arms.
The GLBA shield offers advisors that fall under the CCPA no protection regarding data breaches, though. Penalties can sting.
Macfarlanes tax risk experts explain the EU's new Directive on Administrative Cooperation, and how private equity firms can prepare for compliance and manage tax risk.
SEC passes rule that supporters hope will attract more retail investors into private capital markets.
CFIUS’s 2019 annual report details an emboldened committee with upgraded resources and a strong focus on enforcement.
The Office of Compliance Inspections and Examinations issued a warning about increasing cyber risks to registrants with the Securities and Exchange Commission, and outlined six areas they should review.
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