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August 2020
Home 2020 August
By Dana Evans
August 31, 2020

Getting the Message out About Legal and Compliance

If the SEC is redirecting some of its focus back on the private fund space, consider that it might not be immediately apparent. The SEC can take some obvious steps, like enforcement actions and
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By Dana Evans
August 26, 2020

The Way Forward for Legal and Compliance

The march of progress can change some things forever. But in the financial services field, some things are just cyclical. In that context, the SEC staff recently put out a “risk alert” targeting the
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By Dana Evans
August 24, 2020

Causes for the Fall of Legal and Compliance – Part 3

Here are two final factors that contributed to the decline of legal and compliance as the top operational priority in the private fund space. 5. Competing Issues. Other operational issues arose to compete with
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By Dana Evans
August 19, 2020

Causes for the Fall of Legal and Compliance – Part 2

The decline of legal and compliance as the top operational priority over the past decade was due to many factors. Here are two more. 3. Apprehension over SEC examinations subsided. Substantially. There’s nothing like
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By Dana Evans
August 17, 2020

Causes for the Fall of Legal and Compliance – Part 1

The private fund industry didn’t collectively wake up one morning and say “Hey, legal and compliance isn’t as important anymore.” Rather, there were a number of factors that went into the declining priority over
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By Dana Evans
August 12, 2020

The Rise Before the Fall of Legal and Compliance – Part 3

By the mid-2000s, the private fund industry was rocking. But as the decade came to a close, the industry experienced a number of hugely impactful events. Collectively, these events justified making legal and compliance
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By Dana Evans
August 10, 2020

The Rise Before the Fall of Legal and Compliance – Part 2

The SEC finally pulled the registration trigger in 2004. In effect, the SEC changed its rules so that private funds were no longer counted as a single client. Instead, firms had to look-through all
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By Dana Evans
August 6, 2020

Season One in Review

The following is an index and brief description of guests who joined the Operational Leaders podcast for Season One: Preview Episode: John Brennan, Chief strategy Officer, Eze Castle Integration Episode 1: Michael Merrigan, Founder,
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By Dana Evans
August 6, 2020

The Rise Before the Fall of Legal and Compliance – Part 1

Up until the mid-2000s, private fund firms enjoyed an exemption from SEC registration. As long as a firm managed 14 or fewer funds and didn’t publicly advertise, it was off the SEC’s radar. Some
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By Dana Evans
August 4, 2020

A New Series: The Fall of Legal and Compliance in the Private Fund Space

A decade ago, legal and compliance issues were the top operational-side priority for most private fund firms. Wide-ranging interviews with leading industry participants, surveys of COOs and other anecdotal evidence, however, suggests that may
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