Compliance

The New York attorney-general has filed a lawsuit against Allen, who runs a secondaries fund and a secondaries intermediary business, for allegedly misappropriating more than $13m.
New amendments to California privacy laws are helpful, but PE firms should still be mindful of the compliance challenge.
Keeping a lid on legal expenses
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.
What's on CFOs' and CCOs' minds? Valuations guidelines, patch cyber insurance coverage and SEC exam patterns.
How ESG climbed the compliance agenda, patchy cybersecurity insurance and better valuations guidance were discussed at length at the San Francisco event.
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.
The SEC charged AST Investment Services and PGIM Investments with failing to disclose conflicts of interest that cost funds $72m.
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.
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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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.
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