September 9, 2019
On September 4, 2019, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued another risk…
Author: Eugenie Warner
July 2, 2019
For private fund advisers, fee and expense reviews are a cornerstone to a sound compliance program. The SEC repeatedly reinforces…
April 11, 2019
You timely filed your Form ADV within 90 days of fiscal year end, but, did you properly answer all the…
July 27, 2018
If you wanted more information about the contours of the SEC’s Pay-to-Play Rule, or how the SEC may enforce it,…
July 13, 2018
Somewhat more reminiscent of the broken-windows enforcement era, two affiliated private equity advisers managing billions settled with the SEC on…
June 26, 2018
On the topic of SEC Deficiency Letters, if you have received one, you must promptly take corrective action. The SEC…
June 1, 2018
The embattled U.S. Deputy Attorney General Rod Rosenstein recently spoke to compliance pros at the 2018 Annual Conference for Compliance…
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