PEI Private Fund Compliance Regulatory Forum
We are proudly sponsoring the Private Fund Compliance Regulatory Forum! Meet-up with our team in Washington, D.C.!
As new rules and regulations are adopted and the regulatory landscape evolves your compliance programme must keep pace or risk leaving your firm exposed.
The 2023 Investment Management Compliance Testing Survey results reveal marketing is still the top compliance concern. Cybersecurity and electronic communications follow closely behind.
In an environment of intense regulatory scrutiny, the SEC is putting private fund managers under the microscope, focusing on fees charged to investors. In our recent article we break down the challenges and obstacles firms face as a result of these complex fees both in terms of calculations and the descriptions in the fund's governing documents.
Now that Reg BI has been in place for almost three years, the industry has received a few waves of feedback from the regulators through enforcement actions, arbitrations and additional guidance. We break them down in this article.
This month's update includes insights regarding the SEC’s largest whistleblower award, FINRA’s first expulsion for firm’s Reg BI failures, and more.
The SEC is examining investment advisers' compliance with the Advisers Act Marketing Rule. Advisers should be prepared for comprehensive examinations of their marketing practices.
In May the EU and UK announced a draft MoU for regulatory cooperation in financial services, establishing a framework for close cooperation and avoiding regulatory divergence.
We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.
ACA Group announces the addition of two distinguished professionals to its executive leadership team, Jaime Klein as Chief Human Resources Officer and Alex Fischer as General Counsel.
As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.
We are proudly sponsoring the Private Fund Compliance Regulatory Forum! Meet-up with our team in Washington, D.C.!