Compliance Best Practices

'We understand that emerging managers are going to be different than the Blackstones of the world,' Southeastern university pension official tells Private Funds CFO conference

After one actor auditioned, Beam informed the man he got the job, but that Beam 'needed his passport to make the travel arrangements.' Armed with ...

There are two audiences for an annual review, veteran compliance officer tells Private Funds CFO conference: The SEC and your firm's upper management

Remember that you have a compliance obligation to obtain an initial and an annual notice from these clients confirming that their SLOA instruction remains valid

The rash of SEC enforcement actions against advisers for marketing mishaps means when Commission staff talk about what not to do, it’s time to listen

Take these steps and produce 'the most effective annual review that you could do'

Sometimes jumping on the bandwagon too quickly risks falling off

One strategy to defeat similar fraudsters is to send this correspondence to all clients

'The SEC is always very focused wherever there’s fast-growing activity. I think we’re seeing that focus in particular because private credit is a fast growing ...

“One of the ways that we’re prepping is anyone we think who is an individual that we think might have to report” as a beneficial ...