It’s nice when you have something to compare an experience with, such as an SEC exam. Three compliance officers who’ve been through multiple exams separately ...
A best practice talked about often these days is to ship a cybersecurity questionnaire to your vendors. Some of your counterparties may even be sending ...
Three strikes and you’re out. A critical SEC exam best practice is to make sure you address and correct deficiencies previously cited by the Commission and ...
Just as they had to learn the ins and outs of Dodd-Frank, U.S.-based GPs that want to market to European LPs need to become familiar ...
One year after his predecessor talked about compliance for private equity fund advisers (IA Watch, May 12, 2015), OCIE’s Acting Director Marc Wyatt added his ...
IA Watch has learned that some Internet-only advisers, including “robo” advisers using computer-based programs, are receiving OCIE exam letters. A separate sweep also appears underway looking ...
Regulator interest in how private equity fund advisers assess and disclose fees and expenses has been as transparent as a stadium scoreboard. Irony exists in ...
As the four-year anniversary of the formation of the SEC’s Office of the Whistleblower approaches, SEC Chair Mary Jo White is declaring its awards program ...
The president of a firm that claimed it was investing in personal injury lawsuits pleaded guilty on Thursday to engaging in a conspiracy to defraud ...
In April 2015, the Department of Justice put out these best practices for victims of cyber-attacks to consider following.