Regulation & Compliance

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.

5 key takeaways from SEC’s North case for private fund CCOs

The regulator's Thaddeus North opinion gives guidance as to when enforcement action against chief compliance officers might be appropriate, write Sam Waldon and Erica Jones of Proskauer.

OCIE chief counsel picked as SEC unit’s co-deputy director

Daniel Kahl's appointment fortifies senior leadership amid recent departures of veteran staff.

DATA SNAPSHOT: US firms hesitate on marketing in Europe

Our pfm/SANNE CFO Survey 2018 shows that only 38% of US CFOs said their private equity firms are marketing in the region.

Neuberger unit settles with SEC for $2.7m over improper expenses

NB Alternatives Advisers was found to have improperly allocated compensation-related expenses to three private equity funds it advised.

Fund managers likely to set up shop in UK post-Brexit

The regulatory environment is seen as conducive for fund managers, including those in private equity, to operate in the country.

SEC seeks comments on quarterly reporting requirements

Four months after President Trump asked the agency to look into the matter, it is taking aim at the frequency of reporting.

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.

Developing nations pose biggest bribery risk for CFOs, executives

The 2018 TRACE Bribery Risk Matrix covering 200 countries and territories found that Somalia, Libya, Venezuela, Chad and Turkmenistan are riskiest.

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.

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