Customer Screening - PPM Equity

Regulatory Compliance & Due Diligence

KYB Verification Process: Steps to Identify and Screen Corporate Customers

Master the KYB verification process and uncover crucial steps to effectively identify and screen corporate customers—discover how to enhance your due diligence efforts.

PPM Equity Team
October 28, 2025

Private Placement Memorandum

Lessons From SEC Enforcement Cases: Avoiding Misrepresentations and Hedge Clauses

Focusing on SEC enforcement lessons reveals key strategies to avoid misrepresentations…

PPM Equity Team
November 19, 2025

Private Placement Equity Markets

Disclosure of Fees and Expenses in a PPM: Transparency and Investor Expectations

Navigating fee and expense disclosures in a PPM is crucial for transparency, yet…

PPM Equity Team
November 19, 2025

Private Placement Equity Markets

Private Equity and Climate Change: Mitigating Transition Risks and Capturing Opportunities

Growing private equity efforts are reshaping climate strategies, but how exactly are…

PPM Equity Team
November 18, 2025

Uncategorized

Preparing for SEC Examinations: Marketing Rule, Recordkeeping, and Custody Rule Focus

Bridging the gap in your compliance efforts for SEC examinations involves understanding…

PPM Equity Team
November 18, 2025