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How to conduct an annual review

CCO and former SEC enforcement branch chief Scott Pomfret gives his advice on carrying out an annual review in this excerpt from The US Private Equity Fund Compliance Companion.

PODCAST: SEC aims to level playing field for retail investors

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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DOWNLOAD: Directory of compliance consultants with PE experience

Our downloadable directory contains key details to help you choose the right compliance consultant for your firm. Last updated on August 8 2019 with details for Hardin Compliance Consulting.

Section 502 under the microscope

There’s a section in the Stop Wall Street Looting Act of 2019 that deserves closer attention.

Why the SEC could be looking at alternative data

There are potential conflicts that could surface with the use of alternative data in private equity.

When to self-report to the SEC

In the wake of State Street’s recent $94.3m fine, we look at the difficult decision to self-report misconduct to the regulator.

Monday: Prepare for a data privacy battle on multiple fronts

Four compelling reasons why compliance chiefs should be focusing on the personal data your firm holds.

Deep Dive: Prepare to do battle with data privacy

EU rules were just the start; new regulations around data governance are coming to a state near you.

The SEC’s guidance on fiduciary duty: The lawyers’ view

The SEC's interpretation has provided some much needed guidance to an area characterized by 'flexibilty,' say Debevoise's Simon Witney and Kenneth Berman.

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