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five minutes to comply

SEC exams

The Securities and Exchange Commission generally gives firms two weeks’ notice ahead of an exam, but they are beginning to knock on the door much sooner. How can your firm make sure it is ready for inspection?

Fees and expenses

Fees and expenses have been a hot topic for the Securities and Exchange Commission. Here we summarize how to keep the regulator happy.

IRR calculations

Internal rate of return calculations are facing renewed scrutiny by the Securities and Exchange Commission, following the regulator’s subpoena of Apollo Global Management over its disclosure of IRR calculations in May. What are the key features of compliant IRR reporting?

Pay-to-play rules

Pay-to-play rules prohibit registered investment advisors, including private fund managers, from providing investment advisory services to any state government entity for two years after the RIA or its ‘covered associates’ makes a political contribution to an official of the government entity

Cybersecurity

pfm focuses on a specific area of compliance every month. We take the temperature of the industry, get advice from an expert and explain how to keep the regulators happy. In this issue, we examine best practice for cybersecurity

Valuations

In this new series, pfm focuses on a specific area of compliance every month. We take the temperature of the industry, get advice from an expert and explain how to keep the regulators happy. In this issue, we examine best practice for valuations