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The SEC sets a record for fines and disbursements
The SEC enforcement division reached new heights this year, issuing $4.3 billion in penalties and disgorgements for the fiscal year 2019.
How ESG climbed the compliance agenda, patchy cybersecurity insurance and better valuations guidance were discussed at length at the San Francisco event.
The SEC charged AST Investment Services and PGIM Investments with failing to disclose conflicts of interest that cost funds $72m.
Lawyers from Groom Law Group explain the regulatory challenge to getting 401k investors into private funds and how it can be addressed.
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Our downloadable directory contains key details to help you choose the right compliance consultant for your firm. Last updated on September 13 2019 with details for Adherence.
When the SEC released details of its settlement with Veronis Suhler Stevenson last year, the secondaries community took note.
Green check list
A recent document request letter acquired by Regulatory Compliance Watch shows the SEC digging deep into environmental, social and governance issues.
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.
The Securities and Exchange Commission's concept release on the harmonization of securities offering exemptions could prelude more Main Street access to private equity.
There’s a section in the Stop Wall Street Looting Act of 2019 that deserves closer attention.

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