Doug Cornelius on compliance for private equity real estate
These are some compliance-related stories that recently caught my attention. Do Private Equity Managers Raise Funds on (Sur)real Returns? by Niklas HuetherThe CLS Blue Sky Blog By analyzing valuations at the deal-level, I do not find any evidence of window dressing in private equity. The key factor for performance peaks lies in the deal composition rather … Read more »
These are some of the compliance-related stories I’ve been reading while digging out of the snow this week. Can the S.E.C. Force Repayment of Ill-Gotten Gains? by Peter HenningDealBook The issue before the Supreme Court will be whether a District Court can order a defendant to repay money obtained by fraud or trading on confidential … Read more »
These are some of the compliance-related stories that recently caught my attention. Death Knell for Regulatory Guidance Hits Most Federal Agencies… Broc RomanekTheCorporateCounsel.net We’ve been covering the Administration’s gradual squeeze on regulatory guidance for some time (here’s our latest from April). As noted in this DLA Piper memo, President Trump signed two ‘Executive Orders’ recently that limit the … Read more »
These are some of the compliance-related stories that recently caught my attention. The SEC Cancels Another Open Meeting: What Gives? Broc RomanekTheCorporateCounsel.net The SEC has cancelled tomorrow’s open Commission meeting about proposing changes to its whistleblower office. I think this is the third cancelled open meeting in as many months. Does it matter? Not really. Is it … Read more »
These are some of the compliance-related stories that recently caught my attention. The 2020 U.S. Election is Here: How is Your Firm Monitoring Political Contributions and Government Relationships?by Elaine VincentACA Compliance While the SEC certainly has plenty of responsibilities on its plate, based on precedent it is likely that the regulator will step up enforcement and investigation … Read more »
These are some of the compliance-related stories that I read recently while getting ready for Halloween. It’s the Great Pumpkin: Lessons in Process Validation Through Monitoringby Tom FoxFCPA Compliance & Ethics The compliance lesson from Linus’ adventure; it is process validation. Unlike Santa Claus, who we have been repeatedly told “Yes, Virginia there is a … Read more »
These are some of the compliance-related stories that recently caught my attention. The Cost to Retail Investors and Public Markets of “Harmonizing” Securities Offering Exemptions By Erik F. GerdingThe CLS Blue Sky Blog Investing in private securities would pose considerable additional risks for retail investors, relative to investing in public securities, and existing research suggests … Read more »
These are some of the compliance-related stories that recently caught my attention. Oversight of the Securities and Exchange Commission: Wall Street’s Cop on the Beat The SEC’s mission is to: (1) protect investors; (2) maintain fair, orderly, and efficient markets; and (3) facilitate capital formation. The SEC oversees over 27,000 market participants, including investment advisers, … Read more »
These are some of the compliance-related stories that recently caught my attention. How to Ace Compliance Interviews: Advice for the Next Generation of Compliance Officers by Mary ShirleyCorporate Compliance Insights Your hard work tailoring applications to the job and company has paid off and you’ve been invited to interview. Congratulations on being shortlisted! How do you … Read more »
I want to thank the many readers of Compliance Building who donated to my Pan Mass Challenge ride that raised money to fight cancer. This weekend I’m entered in another charity bike ride. This 100-mile ride in Saratoga Springs is to raise money for the Juvenile Diabetes Research Fund. My teenage son was hospitalized and … Read more »