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Dominic Diongson

Four stories to monitor in 2019

What do we think we will be reporting this year? Data will feature heavily.

Lightyear settles with SEC for overcharging investors

The settlement was the result of an SEC examination that started in December 2016.

A Christmas (instant) message from the SEC

The latest risk alert reminds private equity firms to watch over employees’ use of social media and suggests best practices to improve monitoring.

How a small firm can tap into big firm best practice

Communicating with other executives helps to stay on top of advances in compliance and operations, New Heritage Capital COO and CCO Nickie Norris says.

Year in focus: 2018 in tax

Chief financial officers, general counsels and compliance staff were busy in 2018 tackling issues from tax reform and carried interest to data privacy and Abraaj’s failure.

IFC’s COO on managing a global footprint

Ruth Horowitz, deputy CEO and COO for the asset management arm of the International Finance Corporation, tells pfm how following best practice and outsourcing where needed has helped it manage growth over the last decade.

How a small firm can tap into big firm best practice

Communicating with other executives helps to stay on top of advances in compliance and operations, New Heritage Capital COO and CCO Nickie Norris says.
a pile of papers

CCOs need to fill in compliance gray areas with paperwork

An SEC ruling on email monitoring has done little to clarify the limits of compliance chiefs’ liability.

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