Recordkeeping Requirements for Private Fund Advisers: Off‑Channel Communications and Penalties
An overview of recordkeeping rules for private fund advisers highlights the risks of off-channel communications and potential penalties if compliance is not maintained.
Understanding the SEC’s Marketing Rule: Prohibitions and Permitted Performance Advertising
Guidelines under the SEC’s Marketing Rule restrict misleading claims but permit certain performance disclosures; discover what’s allowed and how to stay compliant.
Sustainable impact investing is transforming private equity, revealing new opportunities and challenges that could reshape the industry—discover how inside.
Monitoring and Reporting Transactions: Suspicious Activity Reports and Thresholds
Just understanding transaction thresholds and suspicious activity reporting is crucial for compliance—keep reading to learn how to enhance your monitoring process.
