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Risk Management › Fund Managers › Securities Regulation

Skadden, Arps, Slate, Meagher & Flom LLP

How Private Fund Managers Can Minimize the Risk of Government Probes in Volatile Markets

Skadden, Arps, Slate, Meagher & Flom LLP on

Key Points - - Periods of market volatility expose firms managing private funds to increased scrutiny from government agencies, regardless of the existence of any actual misconduct. - Government agencies may open an...more

SEC Compliance Consultants, Inc. (SEC³)

Lessons From 2024: Tips for Private Fund Managers

SEC Compliance Consultants, Inc. (SEC³) on

As we look back on the SEC’s actions in 2024, we wanted to share our thoughts on lessons learned that we believe will carry through to 2025....more

Akin Gump Strauss Hauer & Feld LLP

Fund Managers Must Assess Whether Microsoft/CrowdStrike Outage Has Triggered Additional Regulatory Filings

Akin Gump Strauss Hauer & Feld LLP on

A global technology outage linked to the cybersecurity firm CrowdStrike crashed Microsoft apps and triggered major disruptions across the asset management sector, along with other global industries. Private fund managers...more

SEC Compliance Consultants, Inc. (SEC³)

Top Tips for Updating Your 2024 Compliance Program

SEC Compliance Consultants, Inc. (SEC³) on

Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm's compliance policies...more

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