Compliance & Regulation

PE sponsors make novel play to help portfolio companies weather volatile market; The SEC’s audacious proposal: how it could upend industry practices
US Capitol tax reform
Earlier efforts to reform carried interest taxation had stalled, before US Senator Joe Manchin announced on Wednesday that he and Senate Majority Leader Chuck Schumer had worked out a deal.
Advertising/marketing ranked as the 'hottest' topic for a second straight year in an annual survey conducted by ACA Group, Yuter Compliance Consulting and the Investment Adviser Association.
'This is not a theoretical risk,' expert warns
SEC alumni at ACA webinar say detailed notes of calls and 'chaperoning' are the best protective steps against potential enforcements.
The SEC has released no new staff guidance for 16 months on its proposed changes to marketing rules for investment advisers, worrying CCOs in the market.
Regulation-is-coming
Sponsors or GP-led secondaries processes should take care in the language they use to explain why they want to hold an asset for longer, writes Thiha Tun, a partner at Dechert.
SEC Chairman Gary Gensler
Stricter Form D deadlines, increased thresholds, disclosure conditions all under review, sources say.
regulation Securities and Exchange Commission SEC GPs
Only about 17% of respondents to an EisnerAmper webinar poll said they were ‘very prepared’ for the proposed regulations.
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