Insights

Regulatory Compliance

The Importance of Regularly Updating Compliance Policies and Procedures and Training Employees

Regulatory Compliance

Understanding the SEC’s "Pay-to-Play" Rule

Regulatory Compliance

SEC and FinCEN Propose Customer Identification Program Requirements for SEC Registered Investment Advisers

Regulatory Compliance

Private Fund Adviser Rule Reporting Requirements

Regulatory Compliance

SEC Adopts Amendments to Regulation S-P

Regulatory Compliance

SEC Charges Investment Adviser for Off-Channel Communication Recordkeeping Failures

Regulatory Compliance

Regulatory Compliance for Private Fund Managers: Challenges, Changes, and Cultivating a Culture of Compliance

Regulatory Compliance

Law 360 Article: What Financial Cos. Must Know For Handling T+1 Settlements

Regulatory Compliance

Petra's Managing Director of Credit, Adam Weiss, was recently featured in Law60 explaining what financial companies must do to remain compliant with the new T+1 settlement rule.

Proactive Compliance: Getting Your Program Ready for 2024

Regulatory Compliance

In the past year, we have seen a tremendous amount of activity from the U.S. Securities and Exchange Commission (SEC). From a flurry of proposals across a wide spectrum of areas to the adoption of significant rules, the SEC has made it clear that private fund regulation is top of mind.