Investment Firms, Beware Changing Compliance Goal Posts

Law360 (October 11, 2018, 1:30 PM EDT) -- 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.

Understanding the risks of noncompliance extends far beyond the period when due diligence for an investment is conducted. Hedge funds and private equity funds are learning this lesson the hard way: With authority comes responsibility, and authority is not limited to a formal...

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