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'PE firms that place employees on the boards of public companies bear heightened risks that they will obtain nonpublic material information through their representative occupying dual roles,' warned an SEC official.
Managers and compliance professionals need to be identifying mission critical systems, constantly engaging with IT, implementing regular training and maintaining heightened levels of communication.
The sanctioning of Ocean Cross Capital Markets' Thaddeus North illustrates perils facing small firm compliance officers.
GPB says it was 'stunned' by Michael Cohn's indictment.
CCO and former SEC enforcement branch chief Scott Pomfret gives his advice on carrying out an annual review in this excerpt from The US Private Equity Fund Compliance Companion.
Doug Cornelius of Beacon Capital Partners gives his advice for private equity firms looking for a CCO.
EU rules were just the start; new regulations around data governance are coming to a state near you.
Following Danielle Green’s departure from the global investment management firm, William Royer has been named chief compliance officer.
Compliance consultant Paul Henshaw explains the significance of incoming UK regulation to US firms that may be affected.
If you have complicated provisions in your LPA, you'll need to double check your math, according to sister title Regulatory Compliance Watch.
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