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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.

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.

Our most read this year: technology, terms and fees

A look at our most viewed content this year paints a clear picture about what CFOs want to know.

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.

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.

How are PE firms vesting their carried interest?

30% of professionals said that their vesting schedule lasts more than five years, according to a survey by Heidrick and Struggles.

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.

ILPA strikes iLEVEL data deal to bring members greater transparency

The industry group has formed a marketing arrangement with IHS Markit to offer members a discounted subscription to the latter's portfolio data service product.

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