Compliance Best Practices

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

See what your peers turned to in the marvelous month of June

Download the latest quarterly compliance calendar from Regulatory Compliance Watch

From 2015 through 2024, Northeast failed to have the private funds verified by actual examination, or have audits performed of those pooled investment vehicles and ...

You can take action to avoid exam deficiencies by heeding these major takeaways from SEC staff

Seek to avoid PF exam deficiencies with these tips

Like a tide that perpetually washes against the shore, the momentum toward allowing more retail investors into private funds appears to be unrelenting. If your ...

Fund managers should be willing to have “open discussions” with their regulators, one of the SEC’s top private fund examiners say

The average SEC-registered IA provided over 1,000 pieces of information in Form ADV Part 1 and Schedule D

Adviser mistakes ranged from having inadequate compliance P&Ps to omitting compensation conflicts in Form ADV brochures, failing to monitor for the accuracy of client fee ...