IAA 1940
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California’s new Venture Capital Diversity Reporting Law: What VC firms must know now
The March 1 and April 1, 2026, deadlines mark the beginning of a recurring compliance program and not a one-off fill.
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SEC action highlights compliance risks in fee and expense practices
After reviewing the case, Janaya Moscony offers compliance tips on disclosures and robust fee practices.
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Crossing borders – top tips for navigating UK and US compliance
How to comply with compliance rules on both sides of the Atlantic without being penalised.
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Comms monitoring takes centre stage with global regulators
If your firm is subject to one or multiple regimes, you should ensure your controls and approach are aligned with the relevant regulators’ expectations.
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SEC announces 2024 exam priorities
Guidance on where to focus when preparing for the 2024 SEC exams.
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SEC Commissioner Mark Uyeda prepared and unscripted at NSCP conference
Commissioner tells annual gathering to prepare for additional workload caused by ‘overactive’ regulator.
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How US regulatory changes affect sovereign wealth funds investment
New rules are directly affecting how sovereign wealth funds are structuring their investments and reducing the compliance burden.
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Private equity fund adviser to pay $1.6m to settle charges for breaching its duties
California-based AIM transferred and loaned funds without the owners’ consent.