FP - PRIVATE FUNDS UNIT

SEC To Expand Private Fund Exam Team

The unit has its sights on weaknesses in private funds’ disclosure and insider trading policies.

Peter Rawlings 28 September, 2016
NEWS ROUNDUP PHOTO

Today’s compliance news from around the web.

Compliance Reporter 28 September, 2016
GIFTS 2

ICI wants funds to be able to pay the entertainment expenses of guests of brokers who are being entertained.

Stan Wilson 28 September, 2016
GIFTS 2

ICI wants funds to be able to pay the entertainment expenses of guests of brokers who are being entertained.

Stan Wilson 28 September, 2016
NEWS ROUNDUP PHOTO

Today’s compliance news from around the web.

Compliance Reporter 27 September, 2016
LIQUID

The group said funds don’t warrant regulation as systemic liquidity risks.

Peter Rawlings 27 September, 2016
GAVEL 2

How The SEC’s Amended ALJ Rules Impact Counsel

The reforms add a few useful tools for counsel to use during in-house SEC enforcement proceedings.

Compliance Reporter 27 September, 2016
The Securities and Exchange Commission (SEC) headquarters building stands in Washington, D.C., U.S. on Tuesday, Oct. 1, 2013. The U.S. government began its first partial shutdown in 17 years, idling as many as 800,000 federal employees, closing national parks and halting some services after Congress failed to break a partisan deadlock by a midnight deadline. Photographer: Joshua Roberts/Bloomberg via Getty Images

Security-Based Swap Dealers: Preparing For Trade Reporting

SBSDs face the latest in a series of compliance implementation challenges.

Compliance Reporter 9 September, 2016
Peter Driscoll - SEC

Regulator Talk: Peter Driscoll, SEC

Compliance Reporter spoke with Peter Driscoll, head of the SEC’s Office of Risk and Strategy.

Peter Rawlings 30 August, 2016

It seems EU companies aren’t lining up to lobby for U.K. banks to keep their passports.

Ben Maiden 28 September, 2016

BlackRock wants regulators to pay attention to robo-advisers.

Ben Maiden 14 September, 2016

Inquire About Membership

Fund Intelligence membership gives your firm access to an unique analysis and networking platform providing actionable data, insights and contacts that enable you to raise capital, comply with regulation and benchmark against peers.

  • Five specialist networks for the latest industry trends
  • Direct access to actionable industry intelligence
  • Benchmarking data for flows, performance and product development
  • Peer group and allocator/advisor networking opportunities
  • Compliance data and tracking tools
  • Access to networking events and educational webinars
  • Access to our team of dedicated analysts and account handlers