Compliance Best Practices

'The private equity industry has been subject to a public discourse that makes the industry a convenient target, but not a valid one,' Simpson Thacher ...

Here are our hottest stories from August

'The time is now to start getting ready,' MorganFranklin's Howard Gutman says

Check out what your peers clicked on last month

'CrowdStrike is a warning that it’s time to think about it,' Dorsey & Whitney's David Tang says. 'What is the backup plan for your mission-critical ...

'It’s something that the industry can work together on collaboratively. Let’s get together and prove that,' Prunier says

Given that the SEC ushered in a quicker trade settlement rule in May, you would expect the DOE to conduct a sweep exam to assess ...

Your firm may still be grappling with its approach to AI, but you should recognize that some staff may have already wholeheartedly embraced the new ...

Nearly 63% of private fund managers said they billed fund regulatory expenses, such as Reg D filings, to the funds they advised. More than 21% ...

Word on the street reveals SEC examiners are slowly returning to on-site exams, although many remain virtual. Their interest in adviser marketing has only heated ...