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Regulation & Compliance

Splitting the difference: SEC vs NFA exams

Claudia Ranieri and Susan Lynskey of Alaric Compliance Services examine the gap between the Securities and Exchange Commission and National Futures Association’s requirements.

Cybersecurity rises up ESG agenda

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

The state of regulation – timeline

The constraints prompted by the global financial crisis could be on the chopping block. In Part II of this regulation special, pfm examines whether a rollback is likely, and what it would mean for the industry.

Regulation retrospective: 10 years after the financial crisis

The constraints prompted by the global financial crisis could be on the chopping block. In Part I of this regulation special, pfm analyzes the changes since the crash.

Slow going for PE in US DC pensions

The changes needed to include private equity in defined contribution retirement plans are drastic.

Regulation tops investor concerns about private debt

Investors are concerned by regulation, but that has not stopped them from taking a bullish attitude towards the asset class.

WATCH: US firms need to up their game on GDPR

In a two-minute video, forensics specialist Toby Duthie highlights the cultural differences which mean Europe’s new personal data regulation may get overlooked in the US.

More than one ‘significant’ UK cyberattack each day in 2017

Of the 1,100-plus incidents reported to the UK’s National Cyber Security Centre last year, over half were classed as significant.

The law of unintended consequences

The tax reform bill passed at the end of 2017 leaves private fund managers wondering what will befall them, but for now, there are short-term issues to deal with.

Peirce and Jackson sworn in as SEC commissioners

The appointments bring the five-person panel to full capacity.