Upon publication of the proposed rule in the Federal Register, stakeholders will have a 30- day period in which to comment.
On January 26, 2022, the Securities and Exchange Commission (SEC) published a proposed rule that,...more
Summary of private equity firms’ compliance obligations, discussion of notable developments in 2017, and outlook for 2018.
US federal laws and regulations, as well as the rules of self-regulatory organizations (SROs),...more
Summary of private equity firms’ compliance obligations, discussion of notable developments in 2015 and outlook for 2016.
US federal laws and regulations, as well as the rules of self-regulatory organizations (SROs),...more
2/9/2016
/ Anti-Money Laundering ,
Audits ,
CFTC ,
Chief Compliance Officers ,
Conflicts of Interest ,
Cybersecurity ,
FinCEN ,
Fund Managers ,
IRS ,
National Futures Association ,
Popular ,
Private Equity ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
U.S. Treasury ,
Volcker Rule ,
Year-End Compliance Checklist
A summary of a private equity firm’s compliance obligations, a discussion of notable developments in 2014 and highlights of the SEC’s examination priorities for 2015.
US federal laws and regulations, as well as the...more
2/26/2015
/ Chief Compliance Officers ,
Compliance ,
Dodd-Frank ,
Fund Managers ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
Private Equity ,
Private Equity Funds ,
Regulation D ,
Securities and Exchange Commission (SEC)
After a year of “first ever” actions targeting private equity, fund managers should be vigilant, even about seemingly small issues.
In reviewing the results of SEC Enforcement’s fiscal year that ended on September 30,...more