Doug Cornelius on compliance for private equity real estate
These are some of the compliance-related stories that recently caught my attention. U.S. Senate votes 53-45 to confirm Gary Gensler as Biden’s SEC chiefKatanga JohnsonReuters “Gary Gensler has the perfect mix of market expertise, regulatory experience and commitment to the public interest to be an outstanding SEC Chairman,” said Barbara Roper, chief investor advocate at … Read more »
I hope you and your family are staying healthy during this pandemic. We are in a time of great distress. Our health and our economy are at risk. Our country is dividing itself over the correct response. It’s been weeks since I’ve published a blog post. I’m trying to adapt to constantly working at home. … Read more »
I’m going to assume that most of the readers of Compliance Building are working remotely. I hope your firms’ business continuity processes are holding up and you’re keeping things together. I have to admit that I’m getting a little crazy being stuck in the house and working from home so many days in a row. … Read more »
These are some of the compliance-related stories that recently caught my attention. It’s a lot of Coronavirus, but not all of it. New FINRA Guidance on Pandemic RisksMatt KellyRadical Compliance Another day, another gumdrop of guidance from financial regulators that’s worth reading for the whole compliance community. This time it’s FINRA, which published a bulletin Monday … Read more »
These are some of the compliance related stories that caught my attention. SEC Provides Conditional Regulatory Relief and Assistance for Companies Affected by the Coronavirus Disease 2019 (COVID-19) Securities and Exchange Commission announced that it is providing conditional regulatory relief for certain publicly traded company filing obligations under the federal securities laws. The impacts of the … Read more »
We get a bonus day this year with the once-every-four year appearance of February 29 tomorrow. That means an extra day to catch up on some compliance reading. Exam Recap: What’s hot during OCIE Examsby Carl AyersPrivate Funds CFO Don’t expect the SEC to admit to conducting new sweep exams but sources are telling sister … Read more »
These are some of the compliance-related stories that caught my attention. Two Anti-Corruption Items of Note Matt KellyRadical Compliance Good news for anti-corruption enthusiasts looking for something to read — we have two fresh pieces of literature this week that you can study and shoehorn into your compliance programs. First, Transparency International just released its … Read more »
These are some of the compliance-related stories that have caught my attention. Investment Funds – Year-end Compendium of Our 2019 Client UpdatesSidley Austin As the developments affecting the investment management industry continue to unfold, we have once again prepared our semiannual compendium of relevant Sidley Updates for our investment fund and adviser clients and friends. … Read more »
Happy New Year! Here are some of the year-end and start-of-the-year stories for you. SEC And CFTC Regulatory Priorities To Watch In 2020 The Securities and Exchange Commission and the Commodity Futures Trading Commission expect to tackle a busy regulatory slate in 2020. For the chairs of both agencies — Jay Clayton at the SEC and Heath Tarbert at … Read more »
Here is my Star Wars: The Rise of Skywalker spoiler-free collection of compliance-related stories that I’m reading while waiting to watch the movie. The Intersection of Star Wars and ComplianceTom Fox and Jay Rosen On Monday, December 16, we begin with Episode IV-A New Hope and management of risk. On Tuesday, December 17, we move to Episode V-The … Read more »