Five Answers Marketing Needs from Compliance – NOW
Five Answers Marketing Needs from Compliance – NOW Marketing/investor relations teams clearly play an important role in any firm. To find investors willing to make substantial allocations, they need...
View ArticleSEC Focusing on Risk-based Exams and Operational Due Diligence
This week at the Investor OPS Conference: Operational Due Diligence on Alternative Investments for Endowment & Foundations, Drew Bowden, the Director of the SEC’s Office of Compliance Inspections...
View ArticleBridging the Chasm: the Business Versus the Regulatory Perspective
Good corporate governance can be as elusive as beauty; both are in the eyes of the beholder. The lens through which financial services regulators measure the firms they monitor is very different from a...
View ArticleBest Practices: The Ground is Moving
Best practices can feel like a mountain that needs to be scaled. And like mountains, they appear fixed but are actually constantly moving based on a series of opposing forces. Sometimes they are...
View ArticleBig Changes to Private Placement Rules?
Changes in advertising rules are certainly receiving plenty of attention. But anyone offering private fund securities in reliance on Reg D’s Rule 506 will be impacted by recent SEC actions. Among last...
View ArticleManagement in the Bull’s Eye
The attempt to ban SAC Capital’s Steven Cohen from the securities industry along with the decision to reject a proposed settlement with Harbinger’s Philip Falcone highlight the SEC’s continuing message...
View ArticleFive Developments that Will Change the Face of Your IT Department—Forever
Technology serves business objectives. And at hedge funds, technology departments are experiencing the shift that is reshaping the alternatives space: legal and regulatory requirements are now front...
View ArticleSEC Opens Compliance Kimono
On Friday, September 13 the SEC held a compliance outreach program in New York. The program was part of a nationwide series being offered in various cities throughout the U.S. that focus on how the...
View ArticleAsset Managers Swept into the Systemic Risk Vortex
Possibly one of the most important post-Dodd-Frank reports impacting asset managers was released this week by the Office of Financial Research (OFR). Asset managers have argued long and loud that they...
View ArticleWhen the SEC Examines a PE or VC Firm, What Is It Looking For?
The answer, at least in part, was supplied by Bill Delmage, Assistant Regional Director of the SEC’s New York Regional Office, in the keynote speech delivered recently at the Private Equity and Venture...
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