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Compliance Investment Firms, Beware Changing Compliance Goal Posts

Investment Firms, Beware Changing Compliance Goal Posts

October 15, 2018 Bart M. Schwartz

Private equity and hedge fund firms are under greater compliance scrutiny and, as a result, increased regulatory and legal exposure. The responsibilities of board members are not limited to investment performance monitoring. Regulators are now moving up the corporate ladder to identify wrongdoing. That means bringing actions against people who did not think they could be held accountable.

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