Examinations & Enforcement

‘This may be a time to whiteboard some new ideas,’ Simpson Thacher’s Adam Aderton says.

Sponsors are hustling to prepare for the updated data regulations, as deadlines loom and exam priorities are released.

The closer private funds get to retail, the tougher the questions they will face, SEC exams division warns

The gummit’s back (for now), governor Kathy Hochul sits on a beneficial owners’ bill, AIC gets a new victim to field my calls – editors can do things, too – and a week ahead again (for now).

The government shutdown is respite, not rescue, for compliance teams, and what NASAA’s annual enforcement report doesn’t say

‘When there’s a cyclical decline, certain risks pop up time and again… The SEC knows about them, too…’

At the 20th annual Private Funds CFO New York Forum, CFOs discussed everything from the new Marketing Rule to how to focus more on their strategic contributions to their firms.

SEC alumni at ACA webinar say detailed notes of calls and 'chaperoning' are the best protective steps against potential enforcements.

There have been several recent reports that SEC examiners appear to be giving out more deficiencies. 'It was a book' was how one described a recent deficiency letter.