Private Markets Regulatory Trends Update: A Focus on Performance
We invite you to join us as we dive into regulatory and industry considerations around performance measurement for private markets firms.
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory change while navigating the pressures of geopolitical threats, economic crises, and third-party risks. Uncertain times require a nimble approach to achieve compliance and address business priorities in new ways to enable innovation and growth while minimizing risk.
As the global regulation continues to change, it's key that you keep up to speed with latest developments. Here we capture the latest compliance trends, industry insights, risk alerts, and events.
Discover ways to leverage the power of LLMs like ChatGPT while protecting your organization from risks like privacy breaches, IP concerns, and quality control issues.
The SEC put out a Bulletin “to help insure investment professionals live up to” their obligations under Regulation BI and the Commission Interpretation Regarding Standard of Conduct for Investment Advisers (the “Fiduciary Interpretation”). We share tips for meeting these standards.
Looking to launch an ETF? We share what you need to know to get started including costs, timing, and resources required.
The SEC put out a Bulletin “to help insure investment professionals live up to” their obligations under Regulation BI and the Commission Interpretation Regarding Standard of Conduct for Investment Advisers (the “Fiduciary Interpretation”). We share tips for meeting these standards.
The survey, now in its 18th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.
The SEC makes it clear that all broker-dealers and investment advisers have conflicts of interest, and that firms must have a process to identify, mitigate, or eliminate these conflicts.
We invite you to join us as we dive into regulatory and industry considerations around performance measurement for private markets firms.