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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.'
The firm’s executives said on its Q4 earnings call that it has ‘several initiatives’ for retail and high-net-worth investors in development.
Forum panelists on how to do data the wrong way; SEC proposes further changes to Volcker; Blackstone and Apollo are swelling.
OCIE hopes these observations will spur organizations 'to reflect on their own cybersecurity practices.'
LPs are warming to sub lines, PE is under political fire and opening up to retail investors could take the ‘private’ out of 'private equity.’
Neuberger Berman COO says AML/KYC regs will, and should, come to the US private markets; A universal guide to valuations; State Street and iCapital join up to target HNWIs, family offices, and (eventually) retail
Retail money; big issues at the Forum; Partners slapped with lawsuit for alleged NDA breach
Attorneys general from seven states and Washington, DC claim the Commission bypassed congressional intent in approving Reg Best Interest.
Blue Wolf hires new COO; SEC examinations department comes out with its priorities for 2020
The agency's new report provides 'hallmarks' of effective compliance programs detected by the agency over the years.
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