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Compliance 30 October 2017
Laven Partners' MiFID II training for your staff
Posted on 30 October 2017
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Compliance 9 October 2017
Conflicts of interest under MiFID II – Not a simple matter of semantics …
Posted on 9 October 2017
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TWEET by @lavenpartners
"The SEC Division of Enforcement’s Annual report was published for 2019 and confirms that there was a lot of enforcements. This is remarkable especially considering this year’s lengthy government shut down." sec.gov/news/press-rel… #sec #Compliance
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Due Diligence 19 July 2017
In the Spotlight: Private Equity On-Site Visits
Posted on 19 July 2017
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Compliance 13 June 2017
MiFID II SERIES: How to deal with research under MiFID II
Posted on 13 June 2017
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Due Diligence 6 June 2017
The greener the better? Perhaps, but make sure it is actually green!
Posted on 6 June 2017
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Compliance 26 May 2017
MiFID II SERIES – Overview of Guidance
Posted on 26 May 2017
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Due Diligence 13 April 2017
Insider Trading & Fund Blow-ups Make the Case for ODD
Posted on 13 April 2017
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Compliance 15 March 2017
MiFID II Series: Remuneration and performance management of sales staff
Posted on 15 March 2017
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Compliance 22 February 2017
Conflict Compliance under MiFID 2 – Keep Calm but Beef It Up!
Posted on 22 February 2017
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Due Diligence 14 February 2017
Insider Trading & Fund Blow-ups Make the Case for ODD
Posted on 14 February 2017
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Brexit Briefing: Developing a Mind Map
Posted on 20 January 2017
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Due Diligence 5 December 2016
CFA Institute Asset Manager Code Gives Firms Head Start on Operational Due Diligence
Posted on 5 December 2016
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Due Diligence 16 November 2016
The Value of Operational Due Diligence on Private Equity Funds
Posted on 16 November 2016
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Brexit - here is how it impacted you
Posted on 26 July 2016
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Compliance 15 July 2016
Market Abuse Regime
Posted on 15 July 2016