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The Last 30 Posts
- SEC Warns About Exemptive Order Compliance - May 21, 2013 - 0 comments
- SEC’s Compliance Outreach Program - May 20, 2013 - 0 comments
- Compliance Bricks and Mortar for May 17 - May 17, 2013 - 0 comments
- Placement Agents and the SEC Inquiry of Private Fund Broker Dealer Requirements - May 16, 2013 - 0 comments
- AIFMD in the UK - May 15, 2013 - 0 comments
- Compliance Bricks and Mortar for May 10 - May 10, 2013 - 0 comments
- FINRA Issues Regulatory Notice on Communications Regarding Real Estate Investments - May 8, 2013 - 0 comments
- Private Equity Real Estate 50: Which are Registered with the SEC? - May 6, 2013 - 0 comments
- Compliance Bricks and Mortar for May 3 - May 3, 2013 - 0 comments
- Day Two at PEI’s Private Fund Compliance Forum - May 2, 2013 - 0 comments
- Ensuring compliance in your marketing and solicitation procedures - May 2, 2013 - 0 comments
- How technology can improve your compliance process - May 2, 2013 - 0 comments
- What’s on the regulatory horizon and how will it affect your compliance program - May 2, 2013 - 1 comments
- Day One at PEI’s Private Fund Compliance Forum - May 1, 2013 - 0 comments
- The SEC is coming! The SEC is coming! - May 1, 2013 - 0 comments
- What does the CFTC have to do with private equity? - May 1, 2013 - 0 comments
- Impact of Foreign Regulations on Private Equity Firms Doing Business Abroad - May 1, 2013 - 0 comments
- Successfully managing the resources of your office - May 1, 2013 - 0 comments
- Conducting your annual review to ensure compliance - May 1, 2013 - 0 comments
- What to expect from the SEC in the year ahead - May 1, 2013 - 0 comments
- Dodd-Frank a year on: Where is the compliance industry now? - May 1, 2013 - 1 comments
- PEI’s Private Fund Compliance Forum - May 1, 2013 - 0 comments
- Are Your Private Fund Employees Licensed? - April 29, 2013 - 3 comments
- Compliance Bricks and Mortar – One Heart Boston Edition - April 26, 2013 - 0 comments
- The First Enforcement Action Under the JOBS Act - April 25, 2013 - 0 comments
- Don’t Overstate Assets Under Management - April 25, 2013 - 0 comments
- Borrowings and Form PF - April 24, 2013 - 0 comments
- Relying on the Fat Finger Excuse - April 23, 2013 - 0 comments
- A Strange Week - April 22, 2013 - 0 comments
- Terror in Boston - April 15, 2013 - 1 comments
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