Just tooting my own horn today. I finally fulfilled the requirement to become an Investment Adviser Certified Compliance Professional®. With the SEC’s registration requirement for private fund managers, I took a closer look at what the SEC requires for compliance professionals. Rule 206(4)-7 imposes no particular requirements on a chief compliance officer. The SEC release […]
Does your compliance program sometime feel like this gate? A tool working alone is not necessarily effective. It may be a great tool, but still not be effective. If it’s easy to get around then it’s not effective. Do you even know if people are going around? Is it even possible to know if they […]
There was a kerfuffle in the news about employers demanding access to employees’ social media site. The stories stated the employers asked for the employees’ passwords, in addition to their usernames. In response, at least six states have started the legislative process to prevent employers from demanding that access. As you might expect, the tricky […]
The 75 percent number represents the votes needed by the Baseball Writers’ Association of America for a candidate to granted entry to baseball’s Hall of Fame. There were 569 ballots cast. On Wednesday, the BWAA announced that one of the greatest hitters and one of the greatest hitters in the history of baseball were denied […]
In starting off the new year I thought I would update my blogroll, that list of other sites that I read on a regular basis. There is a link to it in the top menu bar of the website. Rather than make you have to chase back to the website, I have also included the […]
Center of town. Woodstock, Vermont. “Snowy night” (1940) by Marion Post Wolcott Published by the Library of Congress
May you receive all the compliance gifts you’ve dreamed of. Cats Decorating Christmas Tree by Louis Wain in the Detroit Publishing Company Collection at the Library of Congress
No post today. I’m a bit lost from this horrible tragedy.
Thanksgiving Puck 1910 / BBaker. Creator(s): Baker, Bryant, 1881-1970, artist Date Created/Published: N.Y. : Published by Keppler & Schwarzmann, Puck Building, 1910 November 23.
For its latest mission, Improve Everywhere staged an unauthorized boardroom meeting in the office chair department of a Staples. The chairs in this particular office supply store were already arranged in a boardroom configuration, making it easy for us to hold a surprise meeting. Actor Will Hines gave a presentation to the board, using a […]
Private Fund Compliance Forum
- Happy Patriots’ Day
- Compliance Bricks and Mortar for April 18
- Best Practices Under the FCPA and Bribery Act
- The SEC Expresses Its Displeasure on Fund Fees
- Real Estate Investing and Crowdfunding
- Compliance Bricks and Mortar for April 11
- Pay to Play and the Supreme Court
- Can a Vending Machine Be a Security?
- The SEC Has Seen Your Private Equity Fees And Is Not Happy With Them
- What Are the Implications of the SEC’s New Private Fund Exam Unit