The Biggest Challenges Managers Face Today
As we face the prospect of substantial policy changes emanating from Washington, DC, RFG asked industry pros for their insights on the...
What If You Could Draft an Insider Trading Law?
Recently, U.S. District Judge Jed S. Rakoff urged passage of a statute prohibiting insider trading. Currently judicial decisions define...
FERC Issues Guidance on Effective Compliance and Market Manipulation
FERC staff recently released two white papers, Anti-Market Manipulation Enforcement Efforts Ten Years after EPAct and Effective Energy...
SEC Proposes to Regulate Endowment Investment Office Compensation
Last week, RFG’s CEO, Deborah Prutzman, submitted a comment letter to the SEC which addressed the reasons why endowment investment...
Insights from Congressional Inquiry Responses
In February of this year, the Senate Finance Committee and House Ways and Means subcommittee sent letters to 56 private colleges with...
Investment Office Behaviors in the Age of Enforcement
Due to the growth of regulatory exposures and risks in today’s investment environment, gaps in compliance coverage have the potential to...
Best Practices Barometer: A Guide to the Universe of Best Practices in the Alternative Assets Indust
In response to the changing regulatory environment, RFG has updated our white paper, Best Practices Barometer: A Guide to the Universe of...
The Vicious Circle of Regulation
Regulatory efforts change the structure of financial markets, and market changes trigger further regulatory efforts. Recent developments...
Eight Predictions for 2016
In many respects, 2016 looks to be a continuation of forces set in motion during 2015, which means it will be a challenging year. One of...
SEC Compliance Focus Continues
The role of compliance in a regulated shop, and the allocation of responsibility between the compliance function and senior management,...