Compliance Best Practices

Consider your 'vulnerabilities' to being used for money laundering when crafting your P&Ps, including the investment products you offer, investment recommendations, distribution channels, intermediaries used ...

Be careful giving a CCO too many hats to wear. FinCEN warns 'multiple additional job duties' 'generally would not fulfill" the requirement to have an ...

A new enforcement action sends the message that any increase in fees constitutes a material change that needs to be disclosed

'The private equity industry has been subject to a public discourse that makes the industry a convenient target, but not a valid one,' Simpson Thacher ...

Here are our hottest stories from August

'The time is now to start getting ready,' MorganFranklin's Howard Gutman says

Check out what your peers clicked on last month

'CrowdStrike is a warning that it’s time to think about it,' Dorsey & Whitney's David Tang says. 'What is the backup plan for your mission-critical ...

'It’s something that the industry can work together on collaboratively. Let’s get together and prove that,' Prunier says

Given that the SEC ushered in a quicker trade settlement rule in May, you would expect the DOE to conduct a sweep exam to assess ...