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Compliance Best Practices

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Eye what your peers felt was our most popular content in February
Penalty word from wooden blocks on desk
Traders and a portfolio manager recognized the squeeze they found themselves in and they discussed a possible solution but didn't take it
'All the little things matter,' Stamatoglou says in interview from Private Funds CFO's New York membership forum
A man's hand uses a fountain pen to put make notes and amend figures on a spreadsheet. A calculator stands close by.
This sounds counter-intuitive because the unvarnished truth could steer clients away from the product, but “whatever else you say, tell them all of the bad ...
Businessman working on laptop with PRIVATE EQUITY inscription, new business concept
All advisers, even exempt reporting advisers, will be subject to the preferential treatment rule
'We want this to be something where the industry can... come up with solutions...'
'Our primary goal is to provide relief'
Multiracial group of business persons in a restaurant
A peer shares an example of a gifts and entertainment compliance policy and procedure
Close-up on a sommelier serving glasses of winetasting event
This sample log comes courtesy of Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla.
Multiethnic group of businesspeople sitting together and having a meeting in the office.
Much talk is heard about the need for private fund advisers to report their beneficial owners under new FinCEN rules. Despite new FAQs, questions remain ...
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