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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.
It’s launch day here at Private Funds CFO, and as it’s Monday we are all about compliance. Here’s your daily round-up
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We digest the premier meeting of private fund compliance professionals through some key statistics.
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