regulators

The private equity giant has said its business could be damaged by allegations of improper conduct or press speculation – whether valid or not.

Be aware that examiners may question your logic for placing clients in certain share classes

Law firm Stephenson Harwood's Gabriel Boghossian and Sarah de Ste Croix outline three points of contention and practical steps to ensure effective LPAC operations.

'If you’re subject to the law, it doesn’t really matter if you’re in or outside of California.'

If 'done incorrectly,' a compliance consultant’s work can inadvertently chart a detailed course for SEC enforcement staff to air a firm’s 'dirty laundry.'