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Compliance Best Practices
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Private funds' thinking has evolved from "risk management" to "value creation," PwC's Eric Janson says on RCW webinar
Here are some preventative measures you can take to help prevent similar issues at your firm
With mergers and acquisitions continuing apace in the industry, know that CCOs can play a key role whenever an advisory ownership change occurs
A source passes on several examples of death and arbitration clauses
Check out this example of an IA agreement
Several states have or hope to pass rules that target ESG investing, including one that proposes to make it a criminal offense to invest funds ...
Covered advice would include recommendations on investment strategies and advice on how rollover proceeds should be invested
A common deficiency seen in SEC exams stems from a private fund adviser not updating its Form ADV, Part 1 answer after the distribution of ...