Like many firms, the adviser used a VPN-like security system to permit staff to access its computer network remotely. “A lot of people complained about ...
The Association for Corporate Growth’s Private Equity Regulatory Task Force is working with at least 32 middle-market private equity firms on six major initiatives to ...
Now that OCIE has released its 2015 exam priorities, we checked with some of your peers who have been through recent exams to ask them ...
Kohlberg Kravis Roberts & Co said it refunded about $8 million to its limited partners last year in the wake of an examination by the ...
Less than three weeks ago, former U.S. Rep. Barney Frank caught some people by surprise when he came out in support of lifting the $150 ...
Nearly 90% of B-Ds and 74% of advisers examined in last year’s cybersecurity sweep exam by OCIE reported they had been the target of cyber ...
If your firm hosts a video conferencing system, check your phone bill. That’s the latest lesson learned from hackers. Roosevelt Investment Group ($2.7B in AUM) ...
Believe it or not it’s been more than 10 years since the annual review requirement came into place. While the annual review can seem like ...
The court filings are flying in the U.S. v. Newman insider trading case (IA Watch, Dec. 11, 2014). On Jan. 23, both the DOJ and ...
Firms that remain stingy when it comes to supporting a compliance department should heed the lessons spawned by Ambassador Capital Management. The Detroit-based RIA once ...