Regulation & Compliance

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.

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.

For the record: How CVC does compliance

Raju Hussain, CVC's compliance chief, explains how he keeps the $70bn firm on the right side of its many regulators and how he guided it through three exams.
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.

SEC’s head of San Francisco office to leave agency

Jina Choi’s departure follows a string of recent high-level officials stepping down, with skills and leadership that can be difficult to replace.

CVC offers up three steps to SEC exam success

CVC Capital Partners' chief compliance officer, Raju Hussain, provides tips on how to get through the exam process.

How to navigate key regulatory issues in French private equity

Stiff penalties apply to GPs eyeing deals in France who do not comply with rules around foreign investment and obtaining merger clearance, according to law firm Franklin.

SEC enforcement unit continues to lose staff, raising concerns on PE oversight

The Enforcement Division has lost 10 percent of its staff over a two-year period.

Triton appoints compliance head after incumbent pivots to ESG – exclusive

Moana Moore joined as partner with responsibility for compliance oversight and money laundering reporting on November 6.

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