Compliance Policies & Procedures

One in five deficiencies linked to suitability, NASAA says

Case another example in importance of delegating compliance authority

RCW talked to experts about how firms can cut down on their risk of SEC deficiencies or enforcement cases stemming from material, non-public information problems. ...

Embattled hedge fund adviser Infinity Q has estimated its exposure to ongoing shareholder suits at nearly $675 million, the firm says in a new statement. ...

Former Ares exec loses millions in unvested stock incentives.

SEC, investors demand more 'horsepower' in private fund shops

Banking giant Credit Suisse lost $5.5 billion on the collapse of Archegos Capital Management because “of a fundamental failure of management and controls” and in ...

Fast-developing standard of 'meaningful, close relationships' put PE advisers on notice

The Biden Administration is urging corporate leaders to review their firms’ cybersecurity protections after another breakout of damaging ransomware attacks. “The most important takeaway from ...

Infinity Q case checks several SEC boxes