Archive for the ‘Compliance News’ Category.

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September 22, 2009:

COMPLIANCE WATCH: Hedge Fund Investors Want Business Details

June 9, 2009:

COMPLIANCE WATCH: Valuation An Issue In SEC Alleged Fraud Case

May 14, 2009:

COMPLIANCE WATCH: The Call a Hedge Fund Investor Should Make

March 30, 2009:

COMPLIANCE WATCH: Separate Accounts Gain Traction

February 25, 2009:

COMPLIANCE WATCH: Investment Advisors Hunt For New Custodians

February 9, 2009:

COMPLIANCE WATCH: Family Ties May Taint Compliance Officer

November 21, 2008:

COMPLIANCE WATCH: Risk Management Seen As Gaining Influence

October 29, 2008:

COMPLIANCE WATCH: Compliance Burdensome for Independents

October 1, 2006:

Compliance Handoff: Hiring a Full-Time CCO Is Proving Costly for Advisers and Funds, Which Are Now Outsourcing the Entire Compliance Department

July 1, 2005:

So Many Regulations, So Little Time: Buy-Side Firms Try Outsourcing Compliance

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