Category Archives: Compliance
Subscribe to Compliance RSS FeedHow to Respond to the SolarWinds “Orion” Supply Chain Attack
Regulatory Crackdown on Ransomware
OCIE Issues Risk Alert on Common Deficiencies Observed in Adviser Compliance Programs
SEC Announces 2020 National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Asserting Reliance on Compliance Consultants as a Defense: Admissibility and Effectiveness
European ESG Disclosure Requirements for Asset Managers
Private Equity and Cybersecurity: A Guide to Preparing for and Responding to a Breach

Proskauer Partner Joshua Newville Discusses the SEC’s Focus on Valuation of Private Fund Investments
Five Principles For Accurate and Reliable Portfolio Company Valuations
Poison Pills In the Wake of COVID-19: A Refresher on Terms and Variations of Shareholder Rights Plans
A Fund Managers’ Guide to Maximizing D&O and E&O Insurance Coverage
UK’s Financial Conduct Authority Warns That Fund Managers Are at Increased Risk of Cyber Attacks
ESG-Focused Fund Strategies Face SEC Scrutiny on Disclosures and Internal Procedures
Ten Tips for Navigating Risks and Liability at Portfolio Companies During COVID-19
SEC Cracks Down on Retirement Fund Advisers’ Undisclosed Compensation and Conflicts
SEC Releases Risk Alert Identifying Common Private Equity and Hedge Fund Compliance Deficiencies
Privacy in the Time of Pandemic: COVID-19 Provides Opportunity to Revisit Regulation S-P Privacy Policies
What Fund Managers Need to Know About Price Gouging Laws
Private Equity and Cybersecurity: Threats, Consequences, and the Regulatory Framework
Who Foots the Bill? SEC Cracks Down on Operating Partner Reimbursement Disclosures
UK Measures to Address Covid-19
When is a Cross Trade a Principal Trade? SEC Brings Enforcement Action Against a Fund Manager That Appears not to Have Understood
