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Regulation & Compliance

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.

CCOs need to fill in compliance grey 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.

Four letters that spell responsibility

The Senior Managers and Certification Regime will revamp the structure and culture of private equity firms in many ways, valuations being one

5 steps to securing your PE firm’s data

Private equity firms with limited resources can take measures without spending heavily to ensure that their data is protected, writes Phil Chambers.

Fee reporting template becomes a focus for UK regulator

The Cost Transparency Initiative – which covers around £180bn of scheme assets – will run a pilot phase to test the new templates and supporting materials until January 2019.

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