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Lots of Private Fund CCOs Wear Multiple Hats

Read some great research by Regulatory Compliance Watch. Bill Myers wrote a story summarizing the Form ADV data for over 4500 private fund advisers. Of that, at least 2800 had more than one job at the firm. Only 622 listed the title for their CCO as only compliance officer. The most common other hat was

July 27, 2023

Thank you for reading Compliance Building. It’s been quiet here on the publishing front. Not that compliance is any less important. With the pandemic, I’ve been pulled in several different directions. One direction that has not altered is my commitment to fight against cancer. The pandemic has cancelled the organized ride part of the Pan

July 24, 2023

In browsing the charges against Michael Barry Carter, it seemed like a typical case of a financial adviser stealing from his clients. The total amount was large. The math of how much he stole from his clients and how much he pocketed confused me in browsing the two press releases. The US Attorney’s headline has

July 21, 2023

The SEC’s Office of Compliance Inspections and Examinations issued a new Risk Alert: Observations from Examinations of Investment Advisers Managing Private Funds. OCIE highlights three areas of noncompliance in the Risk Alert: conflicts of interest, fees and expenses, and misuse of material nonpublic information. OCIE lays out some of the conflicts that are particular to

June 24, 2023

Early this year, the SEC’s Office of Compliance Inspections and Examinations announced its 2023 examination priorities. One item was “Risk, Technology, and Industry Trends.” One risk mentioned was LIBOR transition. [A]s our registrants and other market participants transition away from LIBOR as a widely used reference rate in a number of financial instruments to an

June 21, 2023

Commissioner Robert J. Jackson Jr. stepped down from the SEC when his term expired in February, 2023. President Trump had identified his replacement to serve on the Securities and Exchange Commission: Caroline Crenshaw. Ms. Crenshaw currently serves in the Army JAG Corps and as senior counsel to the SEC. When she first joined the SEC

June 18, 2023

I’m sure many people are surprised at the decision from the Supreme Court that federal employment discrimination law protects gay and transgender employees. Title VII of the Civil Rights Act of 1964 prohibits employment discrimination “because of sex.” Even if Congress did not have discrimination based on sexual orientation or transgender status in mind when

June 15, 2023

The vast majority of private funds use the audited financial statements alternative for compliance with the Custody Rule. Fund managers have custody of the fund assets. Fund investors typically demand audited financial statements from their fund managers. So the audited financial statement work well with the Custody Rule and provides some third-party verification that the

May 27, 2023

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Fund Board Representation and Public Stock

Part of a private equity fund’s investment strategy is getting a seat at the table for a company they own. When that company’s shares also publicly traded, there are heightened compliance concerns. The fund’s management representative is likely to end up with material non-public information. The compliance challenge is to prove that the information does

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May 20, 2023

Compliance Building

Lots of Private Fund CCOs Wear Multiple Hats