JUST RELEASED: The Compliance Advantage: Ten Must-Know Trends to Protect Your Investment Firm
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“Utilizing an outsourcing firm provides access to a deep-bench compliance team, avoids the fixed costs and management issues of hiring an in-house full-time employee, demonstrates compliance independence, shares liability and lower costs.” – Todd Cipperman, Founding Principal
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The SEC has issued a Concept Release that requests comment and input on possible changes to the offering rules including the “accredited investor” definition and the use of private funds to raise capital. With respect to the “accredited investor” definition, the SEC asks for input on whether it should (i)… Read more
The SEC fined a Big 4 audit firm $50 Million for misappropriating information from the PCAOB concerning impending inspections. Several members of firm management were also terminated and charged. The firm obtained the confidential exam information from employees that previously worked at the PCAOB as well as PCAOB employees being… Read more