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When it comes to managers of alternative assets, it seems there’s a bit of a trust problem. According to a recent CFA…

According to the Investment Firm of the Future, a report published by CFA Institute earlier this year, 24% of the organization’s…

Investment managers often choose between a tactical or strategic approach to regulation. Tactical responders typically handle each new regulation separately,…

A strategic approach to regulation in the investment industry is frequently championed in financial news articles and blogs. The majority…

The Compliance Program Rule continues to be a powerful tool for SEC enforcement, recently used by the SEC to address…

If you wanted more information about the contours of the SEC’s Pay-to-Play Rule, or how the SEC may enforce it,…

Global regulators continue to enhance their ability to monitor the activities of market participants through a combination of new rules, filing requirements, and upgrades to surveillance technologies. As a result, many market participants, including both buy- and sell-side firms, need to re-assess how they currently monitor the trading desk, and whether new policies and procedures are needed to effectively manage reputational risk and avoid costly fines.

Leading alternative investment management firm Hamilton Lane recently announced that it successfully filed its Form ADV using Compliance Solutions Strategies’…

https://www.youtube.com/watch?v=PH-xZDxiP3U

In late June, PIMFA, the UK wealth management association and TISA, the Tax Investment and Savings association published the “MiFID…

Somewhat more reminiscent of the broken-windows enforcement era, two affiliated private equity advisers managing billions settled with the SEC on…

On July 11, 2018, the SEC issued a Risk Alert outlining commonly found compliance issues related to best execution by…