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'I would want to know what my gaps are by the end of the first quarter next year,' expert says
Enterprise-wide risk/opportunities require board, C-suite commitments
Regulators 'signaling as loudly as they can,' expert warns
'We need to pay attention to the scope of the duties created by the agreements we sign'
'Historically, these have been the major areas that have been stressed during marketing cycles, and I think the SEC has noticed that'
Venn diagram maps out pain points among valuation, marketing, fees and expenses
Congress gave the SEC responsibility to monitor the private funds industry for systemic risk, and the “lords of finance” should consider regulation one side of ...
Six more trade groups have joined the battle against the SEC’s sweeping new private funds rules, filing five separate amicus briefs urging federal appellate judges ...
'Whenever you see the SEC taking action across rulemaking, exams and enforcement... it should be seen as a clear signal that this is a big ...
"I would like to proselytize how invaluable Form PF data has been in the hands of regulators seeking to stay abreast of an increasingly complex ...