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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...

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SEC 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...

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Bridging 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...

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Best 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...

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Big 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...

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Management 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...

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Five 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...

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SEC 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...

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Asset 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...

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When 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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