Compliance Best Practices

"The corollary is that practicing a culture of compliance, including self-reporting, remediation, and affording Enforcement staff meaningful cooperation during an investigation, is the best way ...

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'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