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Experts detail what needs to be disclosed, and when and how to disclose it, when it comes to SPAC and de-SPAC transactions, which are under heavy SEC scrutiny.
And other anecdotes and takeaways from the CFOs & COOs Forum West, held in San Francisco on September 14 and 15.
With greater regulatory scrutiny on private funds, KKR’s global CCO and former SEC enforcement chief Bruce Karpati talks about the key components of a successful compliance program and how compliance pros can stay on top of evolving issues.
The firm's founder and president, Amy Lynch, talks about what concerns advisers have and gives advice on how they should react.
An RCW analysis of more than 120 advisers that have already answered these questions found every one of them indicated they will use testimonials
The commission’s proposals could cause fundamental shifts in standard practice and market structure, if turned into final rules.
The impact of inflation and greater regulation is putting more pressure on managers to keep up with tax and accounting rules.
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.
SEC alumni at ACA webinar say detailed notes of calls and 'chaperoning' are the best protective steps against potential enforcements.
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