Compliance Policies & Procedures

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

This is Janus Henderson Investors' best execution policy

A peer shares the RIA's compliance manual, complete with numerous P&Ps

A peer shares an example of a policy and procedure for advertising, sales and marketing