Blog
Balancing Innovation with Regulatory Compliance: Strategies for Technology Adoption in Private Funds
The private equity landscape is transforming its approach to technology, as highlighted at this week’s PEI Private Fund Compliance Operations Forum. From boutique firms to industry giants, one truth remains constant: successful implementations require careful balance between adopting cutting-edge solutions and ensuring regulatory compliance. This...
It’s time for CCOs to Lighten the Mental Load
Talking about mental load isn’t just for the latest TikTok trend or Instagram post. Chief Compliance Officers (CCOs) need to get in on the conversation, too. Managing a compliance program can feel like you’ve got 50 browser tabs open in your head, with a few frozen and one playing random music (seriously, where’s that coming from?). Why is the...
SEC Exam Priorities for 2025: Preparing for What’s Ahead
This week, the Securities and Exchange Commission (SEC) released its examination priorities for 2025, continuing a practice that has benefited the industry since 2013. By sharing these priorities, the SEC signals the highest-risk areas for investors and markets, providing insight into where it will focus its oversight efforts in the coming year....
The Missing Tool in Compliance: Why Compliance Teams Deserve Better
Let’s talk about compliance teams—always doing more with less while protecting the firm from regulatory scrutiny and risk. Compliance teams have multiple tools for multiple compliance requirements, from e-mail surveillance to trade monitoring. But they don’t have a tool for them—they don’t have a tool to manage the compliance program. Instead,...
Two Key Takeaways from the SEC’s Marketing Sweep: How Skematic Can Help You Stay Ahead
09.13.2023 The SEC’s recent marketing sweep exam has made one thing crystal clear: compliance with the Marketing Rule (Rule 206(4)-1) is not a “set it and forget it” job. Just because content was compliant when it was published doesn’t mean it is evergreen. Compliance requirements change, and your content needs to stay current. As the...
You Need a Single Source of Truth
Staying on top of compliance matters is like spinning plates in the air. For investment advisers and asset managers, keeping compliance in check, workflows smooth, and teams in sync is no small feat. But there’s a solution that can simplify all of this: a single source of truth (SSOT). What is a Single Source of Truth? An SSOT is about bringing...