Compliance Best Practices

This comes courtesy of Lisa Marsden of Colter Strategic Services in Coral Springs, Fla.

The SEC wants to nudge and coax private funds into their retail era. But first, they’ll need to clean up their valuations. Meanwhile, the Trump ...

On eve of retail era, Kurt Hohl and Brian Daly warn private funds to check their math.

Trust the process, the SEC's enforcement division chief says, the SEC valuations sweep has reached closed-end funds and now covers nearly every corner of private ...

More than half of fund general counsels and chief compliance officers are now given long-term incentives as part of firm value creation. More than half ...

In separate exam requests, SEC regulators asked an interval fund manager and a tender offer fund manager to show their work.

Investment adviser and private funds examination priorities and resources for new registrants on agenda

This hour-long webinar features tips to prepare the new SEC-mandated form

A new SEC risk alert warns fund managers to pay closer attention to their annual compliance reviews, AI’s risks multiply, a San Diego adviser gets ...

Seven enforcement cases read like preambles to the SEC's latest risk alert on annual reviews.