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Compliance Bricks and Mortar for May 21

It’s a day early because of the long weekend. If you’re looking to read some other compliance-related stories this weekend, these are some that recently caught my attention. Former SEC Chairman Cox Weighs in on Administrative Proceedings by Bruce Carton in Compliance Week On Wednesday, former SEC Chairman Christopher Cox offered his own interesting perspective […]

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Vertical Integration of Fund Manager and Related Party Expenses

Marc Wyatt had been on the job for 16 days as the Acting Director Office of Compliance Inspections and Examinations when he took his first shots at private fund managers. He took a shot directly at real estate fund managers and indirectly at other types of fund managers with vertical integration. The Speech While we […]

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Brady, Footballs, and Tone at the Top

Handsome rich man from New England forced to take four-week vacation with supermodel wife. As a football fan, New England Patriots fan and a compliance professional, I can’t let the Wells Report and the punishment levied by the NFL pass without comment. There was a violation of the league rules and there should be punishment. […]

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Compliance Bricks and Mortar for May 15

These are some of the compliance-related stories that recently caught my attention. You need to build a wall, brick by brick. Cyberattacks Represent Top Risk, SEC Chief Says by Andrew Ackerman in the Wall Street Journal “One of my major concerns about this area is nearly everybody gets how high-level the risk and priority of […]

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Private fund Compliance forum

What To Expect From The SEC In The Year Ahead

These are my notes, live from the forum. (Please pardon the rougher nature.) Speaker: Marc Wyatt , Deputy Director -Office of Compliance Inspections and Examination, US Securities and Exchange Commission (Of course, his comments are his own and don’t represent the viewpoints of the Commission or the rest of the staff.) This also only his […]

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Private fund Compliance forum

Ensuring Compliance in Your Marketing and Advertising Procedures

These are my notes, live from the forum. (Please pardon the rougher nature.) Speaker: Julia D. Corelli, Partner, Pepper Hamilton Ross A. Oliver, Senior Counsel & Chief Compliance Officer, Crestview Partners Gwen Reinke, Chief Compliance Officer, Vista Equity Partners You need to think of marketing as a broader area than advertising. Deal press releases and […]

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Private fund Compliance forum

Cybersecurity and Risk Management

These are my notes, live from the forum. (Please pardon the rougher nature of this report.) Speakers: Terry E. Everett, CFO & COO, Rockland Capital Garth Nichols, Senior Manager- Financial Services, EY Christopher Anderson, CCO & General Counsel, KPS Capital Partners LP First step is to figure out what you want to protect. For private […]

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Private fund Compliance forum

The SEC Exam: What We’ve Learned from Recent Exams

These are my notes, live from the forum. (Please pardon the rougher nature.) Speakers: Jason Brown, Partner, Ropes & Gray James Gaven, Senior Counsel and Chief Compliance Officer ,Welsh, Carson, Anderson & Stowe Byron Pavano, COO & Fund Counsel, Audax Group Abrielle Rosenthal, Managing Director, Chief Compliance Officer, TowerBrook Capital Partners LP The new registrant […]

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Compliance Today: What’s Impacting the Compliance Community

These are my notes, live from the forum. (Please pardon the rougher nature.) Moderator: Rob Kotecki, Reporter, Private Funds Management Speakers : Roman A. Bejger, Esq., General Counsel & Chief Compliance Officer, Providence Equity Danielle Ryea, Senior Manager, EY David Smolen, General Counsel & Chief Compliance Officer, GI Partners The Blackrock enforcement action was levied […]

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Private fund Compliance forum

Private Fund Compliance Forum 2015

I’m spending a few days in New York attending PEI’s Private Fund Compliance Forum. Last year, the SEC’s Drew Bowden dropped his illegal expenses bombshell. I wonder what his acting replacement, Marc Wyatt, will do as follow up later today. I plan to live-blog my notes during the conference. We’ll see how the power and […]

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