The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.
The New York City Bar Association Compliance Committee recently issued a detailed Framework for Chief Compliance Officer Liability in the Financial Sector.
A Los Angeles-based private equity fund adviser has paid $1 million to settle charges that it failed to sufficiently implement and enforce its policies and procedures for preventing the misuse of material, nonpublic information.
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