Regulation

It’s difficult to imagine a Congress so divided would be able to address a constitutional remedy should the SCOTUS find for Cochran.

Private equity managers are relying on different methodologies to calculate net performance as the Marketing Rule’s compliance date passes

A proposed regulation governing outsourced services gives examples of what would be in the rule and what services would be outside the rule.

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.