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'If you’re subject to the law, it doesn’t really matter if you’re in or outside of California.'
If 'done incorrectly,' a compliance consultant’s work can inadvertently chart a detailed course for SEC enforcement staff to air a firm’s 'dirty laundry.'
Richard Hope, who was promoted to the top position last week, said greater understanding of the 'black box' of private equity is crucial.
OCIE hopes these observations will spur organizations 'to reflect on their own cybersecurity practices.'
The Neuberger Berman COO expressed his admiration for regulation in Europe and thinks there will be a concerted push to bring AML and KYC rules to US private markets.
Nearly 50 rules are being considered by the Securities and Exchange Commission.
Private funds have been in the political crosshairs in 2019.
Private equity has had to manage political and regulatory pressures, as technology becomes a preoccupation for CFOs.
Blackstone’s global head of compliance, Marshall Sprung, on striking the right balance between proactive and reactive.
The Securities and Exchange Commission's concept release on the harmonization of securities offering exemptions could prelude more Main Street access to private equity.
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