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Compliance/Risk

New SEC risk alert puts advisory industry ‘on notice’

The regulator's OCIE identified overbilling and other deficiencies in a risk alert that legal experts say is meant to send a signal to the industry.

Alvarez & Marsal hires veteran to lead China push

Ron Thompson is joining the professional services firm as MD and will also head the firm's restructuring business in the region with a focus on China.

EU ‘pre-marketing’ proposals under fire

The plans by Brussels would bar a GP from marketing a fund to LPs prior to its receiving AIFMD authorization.

Alter Domus completes deal for Super ManCo

The firm’s acquisition of Luxembourg Fund Partners enables it to offer AIFM and UCITS services from the country.

Data security more important than returns for LPs

Reliable data security measures are more important than returns or fee alignment to LPs, according to the annual CFA survey on investor trust.

Blackstone sees potential ‘significant adverse effect’ from US tax reform

The investment firm is also concerned by the Trump administration's protectionist policies and potential competition for its credit business.

Cybersecurity rises up ESG agenda

As the reach of hackers extends, GPs are increasingly viewing strong cybersecurity as a critical pillar of responsible investing.

SEC names Driscoll OCIE head

Peter Driscoll has served as OCIE acting director since the beginning of the year.

Australia fund overhaul to reduce regs ‘burden’

The national regulator has proposed changes to six areas of funds registration and compliance regulation.

Sycamore’s Dollar Express ‘profited from stolen information’

A former employee of Dollar Tree/Family Dollar gave her boyfriend, who worked at rival Dollar Express, information about new store openings.

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