Regulatory & Compliance Analysis

‘Assume you’re going to get a letter, assume Congress is going to come looking for you, assume a hearing might be on the horizon,’ Holland & Knight partner Arya Hariharan warns industry as Dems look ahead to victory.

Private funds have gotten more generous with their legal and compliance teams. They just haven’t been very open with their compliance and legal teams.

Born from the wreckage of the Great Recession and the Madoff scandal, the unit has reshaped the relationship between regulators and the regulated.

As artificial intelligence reshapes many aspects of PE, experimentation has become the norm. But challenges arise when AI is used to alter how work gets accomplished.

America’s anti-ESG backlash forced fund managers to rethink their commitments to ‘responsible investing.’ But a warming planet, growing labor unrest and new political-economic realities demand fiduciaries’ attention.

With proposed reforms, regulators nudge and coax private funds toward ‘tickerization.’

The SEC will take its first formal vote on private funds’ retail era this week. Meanwhile, the agency’s valuations exam sweep has reached every corner of the emerging retail/private market.

The SEC’s compliance program rule is a seemingly small thing that can signify big problems. A new risk alert warns industry to tighten things up.

The SEC wants to scrap its ‘pay-to-play’ rule. Fund managers should reckon the costs of free speech carefully.

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